Reed Finance is working with our client to hire a Senior Compliance Officer (fixed term contract) position that opens to candidates within the brokerage, FX, trading, capital market and investment space. The company offers fantastic work culture and flexible working arrangement.
Responsibilities:
- prepare and review documentation for high-risk clients and escalate to MLRO if any issue arise.
- assist with internal SARs and STORs and provide reports that help to identify potential money laundering or market abuse.
- monitor daily transactions to ensure compliance with AML and MAR regulations.
- involve in compliance monitoring program, review best execution practice, onboarding processes, call monitoring and handle compliances related to compliance.
- perform data analysis to report key risks, issues and actions taken to the Executive Committee and Board.
- continuous update policies and procedures to ensure compliance with regulations.
Requirements:
- proficient technical compliance expertise in SYSC, COBS, MiFID II, MAR,DISP, CASS and PERG
- solid domain knowledge and AML related matters
- experiences with FCA reporting obligations and communications
- candidate with audit or legal background is a huge advantage