MERJE are currently supporting a long established FX/Currency business in their search for a Compliance specialist in London.
You'll have a fairly wide remit of responsibility, however expected that 50% of your time will be dedicated to managing their Monitoring programme.
Key responsibilities include but are not limited to:
- Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
- Identify any gaps or weaknesses in the Plan and propose remedial actions.
- Proactively consider compliance policies and procedures and suggest enhancements,
- Periodic regulatory, client & internal report preparation, notifications and returns
- Undertaking ad-hoc investigations, thematic project work and process improvements;
- Maintaining compliance logs; and monitoring contractual compliance obligations.
- Maintain records of gifts and entertainment
- Accurately prepare all Senior Manager or Certified Person Applications
- Supports CCO in communicating regulatory developments, including ensuring that the compliance documentation on the company intranet is up-to-date.
Experience/Skills/Qualifications:
- Relevant Compliance Monitoring experience gained within an FX/Currency/Broking or Trading environment
- Good interpersonal skills and ability to interact with people at all levels
- Strong drafting and report writing skills
- Ability to work on multiple projects simultaneously
- Work collaboratively with all business areas as well as building strong relationships with key business partners;
- Able to work both independently and as part of a small cohesive team;
Applicants must be located and eligible to work in the UK without sponsorship.
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If you would like this job advertisement in an alternative format, please contact MERJE directly.