£25,000 - £30,000
7 days ago
The purpose of the role is compliance monitoring and policy work. Tasks will be assigned as needed on a day-to-day basis and may include;
- Running a variety of tasks as part of the completion of the Compliance Monitoring Plan
- AML, market abuse and call monitoring
- KYC reviews
- Collating monthly Management Information (MI)
- Fraud identification, analysis and reporting
- Financial Promotions review
- Complaint handling
- Undertake various core compliance processes including regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading
- Assist with induction training
- Assist in any other ad-hoc projects as required
You will have at least 2 years Compliance and/or Financial Crime experience within the financial sector, ideally in a trading or brokerage environment. Knowledge of the FCA handbook and, in particular, COBS, SYSC, SUP and DISP is essential.
This position is most likely to suit a candidate who is used to working within an unstructured entrepreneurial environment (e.g. a small to medium enterprise or a start-up). The successful candidate must be proactive and able to demonstrate an ability to use his/her initiative to problem solve with the minimum day-to-day supervision.
Whilst we are open-minded about educational qualifications, a degree or equivalent in a law or business related field, would be our preference.
Essential Skills and Abilities:
- Proficiency with Microsoft Excel (intermediate to advance standard) and Word
- Clear and concise communication skills
- Able to remain focused on the task and not easily distracted
- Observant and accurate
- Able to work consistently and adjust the pace of work in line with demands and deadlines