Compliance Officer

cer Financial
London (Greater)
Up to £55,000 + benefits
13 Nov 2017
16 Nov 2017
Contract Type
Full Time

Compliance Officer
London - Holborn
Up to £55,000 + benefits

  • Our client, a brokerage based in central London seek a compliance officer to join their team on a permanent basis. If you have Compliance experience across Commodities or Derivatives then I would like to talk with you.

Responsibilities of the Compliance Officer will include but not limited to:

  • Screen customers and connected entities using online screening tools and update any possible matches on a daily basis (sanctions, PEPs).
  • Conduct training and education programs to keep staff apprised of new rules and regulations, policies and processes and regulatory events on an as-needed basis.
  • Review, analyse and implement into procedures and business practices applicable rules and regulations affecting the company.
  • Communicate with regulators and exchanges to comply with rules of the regulatory regimes and responding to regulatory investigations.
  • On-board customers in line with the firm?s Customer Due Diligence (CDD) necessities.
  • Certain administrative tasks such as administration of access to various systems.

Have you got the essential requirements?

  • Degree Educated
  • Work involvement at a regulated financial services organisation or an exchange.
  • Strong understanding of key laws, rules and regulations affecting the industry.
  • Previous familiarity of carrying out compliance monitoring and surveillance (both manual and automated)
  • Solid understanding of financial crime and its prevention and detection, AML/CTF and sanctions requirements.

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