Compliance Assistant - SME Broker
A prestigious SME CFD / Spread Betting Broker, based in the City are actively seeking an Compliance Assistant. The successful candidate will be very diligent with clients documentation and ensure all information is abiding by the FCA regulations. The role will see you assisting the department in providing a first class compliance function.
The candidate should express knowledge and experience within a compliance position at a financial services business. While being IT literate and able to quickly pick up new systems and the regulations of the FCA.
- Advisory: supporting with Regulatory, Compliance and Financial Crime matters including AML, Fraud, Bribery and Corruption and Market Abuse.
- Monitoring: test business areas to include EMIR reporting and AML reporting.
- Assist in Compliance Due Diligence and monitoring of Third Parties.
- Review: policies and procedures, financial promotions and website.
- Training: assist and prepare Compliance and AML training within the firm.
- Effective communicator; articulate, confident and able to relate to and create trust with ease.
- Planning and organisational skills with a high attention to detail.
- Achievements and results drive; the desire to get things done well and the ability to set and meet challenging goals, create own measures of excellence and constantly seeking ways of improving performance.
- Resilient; delivers a consistently high-level level of performance irrespective of whether, on a given working day, you are on or off site, have travelled to an event and / or are working remotely from other colleagues.
- Ambassador of the brand; promoting the Company internally and externally.