Senior Compliance Assistant

Smart Currency Exchange
19 Mar 2017
18 Apr 2017
Contract Type
Full Time

We are a rapidly growing Foreign Exchange Brokerage looking to double in size over the next three years. We offer a bank-to-bank service for both Corporate customers and Private Individuals.

We prides ourselves on our service offering not only in terms of our products but also our customer service.

We are a debt free and entrepreneurial company which has continued to grow even during these troubled times and we have the business model in place to ensure continued growth.

We are looking for a highly motivated, hardworking and commercially aware candidate to join the Compliance team in the capacity of a Senior Compliance Assistant.

The successful candidate will be responsible for (but not limited to):

1) KYC On boarding of all new clients to SCE (Private Client and Corporate) Responsible and accountable for:

  1. Processing incoming applications - checking automatic checks and applying manual checks where required
  2. Reviewing and Ensuring all documentation is filed and saved as required
  3. Allocation of new clients to private traders
  4. Support teams with compliance queries and / or escalate to Senior compliance associate or MLRO where required

2) Ongoing monitoring of client universe (Private and Corporate) - Responsible and accountable for:

  1. Ongoing monitoring of corporate clients through CreditSafe
  2. Keeping client data accurate and up to date
  3. High risk transaction reporting
  4. Assisting accounts with beneficiary checks (PEP and Sanctions checking)

3) Review and process online activation requests from Private client traders / trader support

4) Policies and procedures - Working with senior compliance associate on:

  1. Assisting with keeping compliance policies and procedures up to date and in line with regulations (AML / GDP / Internal compliance and risk process)
  2. Monitoring with SCA & MLRO upcoming regulation changes and assisting with roll out of any new regulatory requirement

5) Training - assisting Senior compliance associate with:

  1. Assisting in rolling out training programs across the business (AML & GDP)
  2. Recording keeping of training completed

6) Responsible for the preparation of monthly External compliance review pack

7) Assisting Compliance and Risk team with Internal process control checking and auditing

Skills & Knowledge Required:

  • Customer focus and relationship management skills
  • Team player but must also be fully capable of working independently
  • Ability to work under pressure to tight and continuous deadlines
  • A desire to develop a career In Financial Services/Compliance
  • Excellent presentation, organization and administrative skills
  • 2-3 Years experience in working in a Compliance Role
  • Experience of working in financial services (desirable but not essential)

This role is office-based in Hammersmith, London.

We offer the opportunity to attain a basic/intermediate level professional qualification from a recognized external body as well as future opportunities for progression

On successful completion of probation, you may be entitled to join our Pension Scheme, Private Medical Cash Plan and have access to our Company's IFA.

This is a fantastic opportunity for the right candidate and if you meet the above criteria then this role is definitely for YOU

We regret only successful candidates will be contacted.