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Senior Compliance Executive (Job Ref:15697a)

Investment Banking , Broker/Commodities , Stockbroker | Monitoring | Permanent | Up to 60,000 pa + benefits | City - London

THE COMPANY:

Our client is a global market leading brokerage firm based in the City

 

THE RESPONSIBILITIES:

  • Develop the company’s transaction reporting to ensure ongoing compliance and efficiency as the firm grows
  • Review the company’s close links with a view to (a) enhancing inter-company relationships as required (b) ensuring due diligence is up to date as required.
  • Act as SME to assist other entities within the group to develop practices and policies. This may involve developing people / training as well as developing policies, systems and processes.
  • Enhance risk assessment practices to ensure this element of compliance keeps pace with company growth and diversification (geographically and product)
  • Liaison with the UK Sales team to agree on appropriate actions / responses in respect of potential and existing clients
  • Close working with Head of Compliance, COO and CEO to assist in ongoing business development
  • Client onboarding (institutional and professional)
  • Full responsibility for the company’s monitoring program (call, transaction, website, suspicious client and fund monitoring)
  • Complaints handling
  • Oversight / ownership of international payment checks
  • Manage the ongoing PEP and sanction monitoring process
  • Compilation and presentation to the Board of the monthly Compliance MI pack created and presented to MLRO and COO
  • Periodic assessment and re-alignment of core compliance policies and procedures.
  • Oversee a bi-annual compliance health check.

 

EXPERIENCE REQUIRED:

  • Relevant Generalist experience in a core compliance role
  • Forex sector experience is essential
  • FX/CFDs experience
  • Proactive and energetic
  • Ability to work independently
  • Some travel will be required

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