THE RETAIL BROKERAGE
This Retail Brokerage is a prime supplier of online trading services who provide multiple financial derivatives: CFDs, Spread Bets or 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;
- Act as a number 2 to support and assist the Compliance Manager
- 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 5 years' experience in Compliance & Financial Crime within a trading or brokerage environment
- Degree level education preferred
- Ability to remain focused within a fast paced and evolving 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 Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.