Our client, a global foreign exchange provider, is seeking a new member for their Regulatory Compliance Team in their London office.
As the Compliance Assistant and Front Office Liaison you will act as the first point of contact for regulatory compliance queries for the business and provide guidance and advice on day to day provision of compliance.
Amongst the responsibilities of the Compliance Assistant and Front Office Liaison will be:
*Build relationships with the front office to enhance their awareness of regulatory obligations
*Build awareness of the firm's relevant processes and procedures to ensure the front office understand their obligations as the first line of defence
*Develop a robust monitoring/testing plan, making the most effective use of resources
*Execute compliance reviews
*Monitor Front Office activities in general for conduct and adherence to rules, analysis of issues identified, escalate where necessary and agree actions to address
*Test controls to make sure the business is operating in a compliant manner
*Provide input and assist with testing and the development of new systems
*Collaborate with team to ensure that policies and procedures accurately reflect practice
*Ad-hoc generalist Compliance, monitor team inbox and cover of other staff members
*Influence and improve conduct and culture throughout the business
Compliance Assistant and Front Office Liaison - what we're looking for:
*Must have a good all round knowledge of front and back office operations, practices, products, including industry practices, market regulations and conventions, policies and procedures
*Compliance exams (desirable)
*Demonstrates professional acumen, integrity, discretion, credibility, resilience & trustworthiness
*Self-motivated & results focused
*Excellent all-round communication skills
*Good organisational skills, able to multi-task
*Must display exceptional attention to detail
*Able to work on own initiative
Compliance Assistant and Front Office Liaison - what's in it for you?
The chance to work for a rapidly growing firm with plenty of opportunity for development and a fantastic company culture.
May & Stephens Ltd is acting as an Employment Agency in relation to this vacancy.