Support the Head of Compliance & MLRO as part of the team to cover all aspects of the Compliance Monitoring Program, and other regulatory issues that impact the firm.

Client Details

Full-service Broker-Dealer - London, UK

Description

• Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
• Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log, Etc.
• Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
• Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
• Support the Senior Compliance Officer with the preparation of management information.

Profile

• A strong understanding of regulatory frameworks within the financial services industry.
• Experience in compliance, risk management, or a related field.
• Circa 3 years' experience in general compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR.

Job Offer

• Competitive salary ranging from £45,000 to £50,000.
• Position based in London with opportunities to collaborate with a skilled team.
• 12-month fixed-term contract within the financial services industry. Likely to be extended.
• Potential for professional growth and development.
• Supportive and professional work environment.