Compliance Executive

Elliott James Consulting Limited
London (Greater)
08 Mar 2018
14 Mar 2018
Contract Type
Full Time

An exciting opportunity has arisen for an entry level Compliance Professional at a
leading financial services company specialising in advisory stockbroking.

The successful candidate will be required to provide compliance monitoring
support to ensure continued compliance with FCA standards and internal rules.
Main responsibilities:

  • Undertake compliance monitoring work in accordance with business and
    FCA guidelines
  • Document all monitoring work and findings, following up actual or
    potential issues
  • Provide feedback in relation to areas of improvement within the
    compliance monitoring programme
  • Undertake AML / KYC reviews and ensure compliance files are kept up to
    date on an ongoing basis
  • 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;
  • Complaint handling and investigation (experience dealing with FOS
  • Execution, management and provide monthly reporting of monitoring
  • Approved person applications and ongoing training (FCA connect
    proficiency preferable)
  • Financial promotion sign off and review
  • General compliance advice to members of the broking desk and sales

Skills & Interests:

  • Good written and spoken communications skills
  • The ability to work towards deadlines
  • Strong analytical and organisational skills
  • Keen attention to detail
  • Awareness and appreciation of regulatory frameworks and business
  • Self-motivated and able to use initiative
  • An interest in the continual development of the business

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