£30,000 - £35,000
5 months 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;
· Maintaining daily contact with the Czech office
· Running a variety of tasks as part of the completion of the Compliance Monitoring Plan
· AML, market abuse and call monitoring
· 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 and assist in any other ad-hoc projects as required
The candidate will be able to communicate in English and Czech/ Slovakian at business level, both verbally and in writing. The candidate will be willing to travel to our business partners’ office in Slovakia and the Czech Republic on a regular basis, business trips will involve overnight or several days stay.
Will have some experience in Compliance and/or Financial Crime within the financial services sector, ideally in a trading or brokerage environment and have some knowledge of the FCA Handbook.
Whilst we are open-minded about educational qualifications, a degree or equivalent in a law or business related field, would be preferable.
This position will most likely suit a candidate who is used to working within an 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.
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.
Regular travel to Prague, Brno and Bratislava required