MERJE have been engaged exclusively to work this reputable global FX business. Our client is part of a wider group of companies which employ
s over 2,500 employees globally and provides banking and brokerage services to around 65,000+ clients worldwide.
They have a number of global offices, and due to some recent structural changes in their London office, they are actively looking to recruit a capable Compliance Analyst to join their existing team.
The Regulatory Compliance Department ensures the firms operate in compliance with FCA regulation.
The Compliance function has responsibility for FCA reporting, management reporting, risk assessment and development of a risk-based monitoring programme, advisory responsibilities including providing support for staff training and providing day-to-day assistance for front office staff, participating in the establishment of new policies and procedures.
· Work alongside other members of the Compliance team to develop a robust monitoring/testing plan
· Execute compliance reviews
· Monitor Front Office activities in general for conduct and adherence to rules, analysis of issues identified, escalate where necessary and agree actions to address
· Test controls to make sure the business is operating in a compliant manner
· Provide support to the Compliance team on new project work driven by the changing regulatory environment
· Collaborate with team to ensure that policies and procedures accurately reflect practice
· Ad-hoc generalist Compliance including monitoring team inbox
· Influence and improve conduct and culture throughout the business
· To provide concise and meaningful management information to the firms executive and Board & Senior Managers, e.g. Monthly compliance reports, Quarterly Board reporting etc.
Ensuring the company is GDPR compliant
· 2-3 years of broad based Regulatory/Compliance experience ideally gained within an FX environment
· Technical knowledge of FX financial instruments, hedging, trading and OTC derivatives in general would be a plus
· Must have some understanding of front and back office operations, practices, products, including industry practices, market regulations and policies and procedures;
· Familiar with practical implementation obligations resulting from MiFID II, MiFIR, EMIR rules and guidance.
· Self-sufficient individual with strong communication skills