Compliance Associate

Elliott James Consulting Limited
London (Greater)
11 Nov 2017
16 Nov 2017
Contract Type
Full Time

Compliance Associate - London - £40,000 - £50,000

Elliott James Consulting have an exciting opportunity for a Compliance Associate to join a well-known, well respected and well established company based in The City. My client is a global leading provider of Forex and CFD margin trading services and are FCA regulated and authorised.

The nature of the role will lead to the successful candidate expanding on their experience across multiple facets of compliance and other areas of the business as new lines are developed.

Duties of the role:

  • Drafting and maintaining compliance standards, policies and procedures relating to AML, PA Dealing and Conflicts of Interest
  • Monitoring, reviews, remediation and general preparation of regulatory examinations relating (but not limited to) AML/Financial Crime, Trade and Transaction reporting
  • Jurisdiction analysis and reviews
  • Regulatory change management and review of updates from FCXA, JMLSC, HMRC
  • Financial Promotions reviews and approvals
  • Assist with staff and agent training
  • Assist with Compliance Monitoring Plan reviews, Audit requests, Risk Assessment Reviews and Internal Audit
  • Assist with Company legal requirements
  • Assist with FCA returns via online systems
  • Provide compliance guidance and advice to staff overseas
  • Produce MI on AML, ABC, CASS and TCF

The successful candidate should:

  • Have a minimum of 3 years experience in a compliance role within the financial sector
  • Experience producing policies and procedures
  • Knowledge and understanding of current FCA handbook
  • Legal background is highly advantageous
  • Having an understanding of MiFID II is advantageous, being involved with a MiFID II implementation is highly desirable

Compliance Associate - London - £40,000 - £50,000

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