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.
This job was originally posted as www.jobsite.co.uk/job/959528758