The Retail Brokerage
This Retail Brokerage is a prime supplier of online trading services who provide multiple financial derivatives: CFDs, Spread Bets or Margined FX. The organisation is headquartered in London and a new opportunity for a Compliance Executive to join the team has arisen.
This is a broad and varied compliance role with a focus on compliance monitoring and policy work. Some of your day-to-day responsibilities will include;
- Managing a variety of duties as part of the completion of the Compliance Monitoring Plan.
- Market abuse, AML and Call Monitoring.
- Fraud identification, analysis and reporting.
- KYC reviews.
- Manage multiple key compliance processes including: regulatory liaison, reporting, registrations, gifts & entertainment, employee trading, conflicts, projects and breaches.
- Assist with updating existing and writing up new compliance-related policies and procedures.
- At least 3 years' experience in Compliance and Financial Crime within a trading or brokerage environment.
- Experience with KYC, Anti-Money Laundering (AML) and Fraud related concerns.
- Degree level education preferred.
- Ability to remain focused within an unstructured entrepreneurial environment.
- Ability to maintain a consistent work level and respond to demands and deadlines.
- Proficiency with Microsoft Excel.
If you feel you, or anyone you know, have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Chelsea Wade at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.