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Compliance Associate

  • Location: London
  • Salary: £60,000 - £80,000 per year
  • Job Type:Permanent

Posted 10 days ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email: emanson@merje.com
  • Contact Phone: 0203 637 1601
  • Expiry Date: 01 August 2024
  • Job Ref: EM/11883

MERJE are currently supporting a long established FX/Currency business in their search for a Compliance specialist in London.

You’ll have a fairly wide remit of responsibility, however expected that 50% of your time will be dedicated to managing their Monitoring programme.

Key responsibilities include but are not limited to:

  • Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
  • Identify any gaps or weaknesses in the Plan and propose remedial actions.
  • Proactively consider compliance policies and procedures and suggest enhancements,
  • Periodic regulatory, client & internal report preparation, notifications and returns
  • Undertaking ad-hoc investigations, thematic project work and process improvements;
  • Maintaining compliance logs; and monitoring contractual compliance obligations.
  • Maintain records of gifts and entertainment
  • Accurately prepare all Senior Manager or Certified Person Applications
  • Supports CCO in communicating regulatory developments, including ensuring that the compliance documentation on the company intranet is up-to-date.

Experience/Skills/Qualifications:

  • Relevant Compliance Monitoring experience gained within an FX/Currency/Broking or Trading environment
  • Good interpersonal skills and ability to interact with people at all levels
  • Strong drafting and report writing skills
  • Ability to work on multiple projects simultaneously
  • Work collaboratively with all business areas as well as building strong relationships with key business partners;
  • Able to work both independently and as part of a small cohesive team;

 

Applicants must be located and eligible to work in the UK without sponsorship.

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