Compliance Monitoring Analyst - FX

  • Location


  • Discipline:


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  • Salary:

    £30,000-£40,000 basic salary plus package

  • Consultant:

    Edward Manson

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  • Published:

    3 months ago

Our client, a UK-based foreign exchange company that provides currency exchange and international payments is looking to appoint a Compliance Monitoring Analyst who will work closely with the Senior Monitoring Manager in ensuring regulatory requirements are being managed across the business.

The Role

This will be a broad based role covering some of the following key duties:

  • Reviewing FX Forward trades to ensure compliance with relevant exemptions.
  • Periodic file reviews on existing client database, to ensure information held is kept up to date.
  • Conducting client appropriateness testing and ensure client categorisation is correct
  • Ongoing monitoring of client categorisation
  • Liaising with sales and trading teams to advise on correct allocation of trade.
  • Logging issues identified in compliance monitoring reviews and agree actions
  • Providing regular reporting as to the status of files that have been and are currently under review.
  • Monitoring of phone calls to ensure regulatory requirements are not breached.
  • Providing input and assist with testing and development of new systems.

Key Requirements

  • 1-3 years’ experience working within the Financial services industry (FX or Payments) – preferably in a Compliance role
  • Knowledge of FCA Handbook
  • Knowledge of EMIR rules, specifically Variation Margin (preferred but not essential)
  • Knowledge of FX Forwards (preferred but not essential)
  • Previous experience working within a KYC/Monitoring team
  • Experience of CDD requirements for corporate entities
  • Good knowledge of Microsoft Office
  • Excellent communication skills.
  • Good organisational skills and attention to detail.
  • Good client support and customer service