Compliance Exec - Established Brokerage - City

Morgan Spencer
London (Greater)
11 Feb 2018
16 Feb 2018
Contract Type
Full Time
Our client, an established Brokerage based in the heart of the city, are looking for a Compliance Executive who has gained experience within a Brokerage previously. The successful candidate will participate in the review of KYC/AML Client Onboarding. The candidate will face the company’s sales and client
services teams, and provide guidance and feedback to ensure expedient compliance account processing. This is a fantastic opportunity to join a growing company who are offering career advancement.

The Person
• Assist with any queries relating to KYC & AML processes to ensure adherence to internal procedures and industry best practice;
• Interact with our onboarding team, etc. to obtain KYC and other compliance information and documentation on a case by case basis;
• Suggest and implement new efficiencies in the on-boarding process;
• Perform rolling due diligence especially with regard to PEPs, and other high risk accounts and AML-related reviews;
• Assist in drafting, updating and monitoring the company’s policies and procedures for relevant business areas;
• Assist with transaction reporting and any other relevant reporting requirements;
• Carry out any other ad-hoc tasks at the request of the Head of Legal & Compliance, etc.

The Role
• Bachelor’s degree: business, finance, accounting or technology related preferred. Law degree is a plus.
• Working knowledge of key FCA principles for businesses and/or financial services sector (brokerage, bank or securities industry) – prior experience preferred;
• Ideally - knowledge of blockchain technology and cryptocurrency space
• Good knowledge of KYC processes and understanding of the requirements for risk-based approach to on-boarding;
• Strong analytical skills to use data/metrics for risk monitoring as well as good oral and written communication skills;
• Ability to work flexible hours;
• Great attention to details.

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EQUAL OPPORTUNITIES Morgan Spencer Recruitment is committed to equal opportunities and actively seeks applications from all sectors of the community irrespective of gender, race, colour, nationality, ethnic or national origin, disability, marital status, sexual orientation, having responsibility for dependents, age, religion/beliefs, or any other reason which cannot be shown to be justified.

CONFIDENTIALITY: All applications are dealt with in strictest confidence and will be processed in accordance with the Data Protection Act 1998

Morgan Spencer Limited, registered in England & Wales No: 4254114

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