Senior Compliance Executive

London (Greater)
31 Oct 2017
16 Nov 2017
Contract Type
Full Time

Senior Compliance Executive

Location: London EC2

Salary: Competitive DoE

Core Working Hours: 8.30am to 5.30pm

The Company
Our client provides financial derivatives in the form of CFDs, Spreads Bets or Margined FX; they have a broad range of Clients including small institutions, high net worth clients and retail clients, who form a large part of their business.

Headquartered in London with a Technology Centre in Hemel Hempstead, they are a leading provider of online trading services and a new opportunity has arisen for an experienced Compliance Executive to join their expanding Compliance Team

The Senior Compliance Executive role

The purpose of the role is compliance monitoring and policy work. Tasks will be assigned as needed on a day-to-day basis and may include:

  • Running a variety of tasks as part of the completion of the Compliance Monitoring Plan
  • AML, market abuse and Call monitoring
  • Order sourcing (calls, messenger, email, Bloomberg)
  • KYC reviews
  • Fraud identification, analysis and reporting
  • Financial Promotions review
  • Complaint handling
  • Assist in any other ad-hoc projects as required.
  • Undertake various core compliance processes including: regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches.
  • Assist with writing up new and updating existing compliance-related policies and procedures.
  • Assist in any other ad-hoc projects as required.

The ideal Senior Compliance Executive will need the following:

The candidate will have Financial Crime experience in a Compliance function within the Financial sector, ideally in a trading or brokerage environment and/or have dealt with Know Your Client (KYC also known as ?customer due diligence?), Anti-Money Laundering (AML) activities and Fraud related issues.

Knowledge of the FCA handbook and, in particular, COBS, SYSC, SUP and DISP is required

Whilst we are open minded about educational qualifications, a degree or equivalent in a law or business related field, would be their preference.

This position is most likely to suit a candidate who is used to working within an unstructured entrepreneurial environment (e.g. a small to medium enterprise or a start-up). The successful candidate must be able to demonstrate an ability to use his/her initiative to problem solve with the minimum of day-to-day supervision.

Essential Skills and Abilities

  • Proficiency with Microsoft Excel (intermediate to advance standard) and Word
  • Clear and concise communication skills
  • Able to remain focused on the task and not easily distracted
  • Observant and accurate
  • Able to work consistently and adjust the pace of work in line with demands and deadlines.

Preference will be given to candidates with previous experience with KYC, AML and fraud prevention/monitoring systems.

The Senior Compliance Executive Benefits

  • Holiday, 25 days plus bank holidays. Holiday increases by 1 day per calendar year served up to 28 days.
  • Private Medical Cover
  • Employee Assistance Programme
  • Life Assurance and Income Protection*
  • Subsidised Gym Membership*
  • Interest Free Season Ticket Loan (for transportation)*
  • Salary sacrifice Pension, Childcare Voucher and Cycle to Work schemes*

* Note these benefits only available after successful completion of probationary period.

If you feel you?re suitable for this Senior Compliance Executive role then please apply today!

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