Junior Compliance Officer

3 weeks ago

London, United Kingdom XTB LTD Full time

XTB UK is looking for a junior level compliance officer to join its current compliance team. The role covers a variety of areas and working closely with the Head of Compliance and MLRO to ensure that the organisation conducts business in a compliant manner at all times in accordance with FCA(1) rules, company policies and procedures; especially with regards to Preventing Money Laundering and Terrorism financing, Anti-bribery and Corruption risks and Conduct of business rules applicable to the business.

Key Accountabilities:

  • Work with the Head of Compliance to implement FCA regulatory requirements into the firm's global compliance program
  • Manage day-to-day operations of the compliance program and conduct periodic compliance reviews within offices; provide reports to Head of Compliance and senior management where appropriate
  • Ensure that policies, procedures and standards of conduct are communicated, understood and appropriately implemented within the office; deliver training as required
  • Implementation of the firm’s Compliance Monitoring Program
  • Develop and maintain strong relationships with U.K. employees and provide appropriate advice on compliance matters; refer issues to Head of Compliance as required
  • Monitor changes to U.K. legislation and rules affecting the firm's business and advise management and staff of the implications of these changes
  • Recommend improvements where appropriate and ensure that compliance manual and policies and procedures are kept up-to-date in light of developing legislation
  • Coordinate, manage and participate in any regulatory examinations as needed
  • Conduct review and approve KYC files for accuracy and completeness of KYC documentation
  • Assist and undertake compliance monitoring, audits and risk assessments
  • Assist the Head of Compliance in maintaining Compliance policies and procedures
  • Assist in Compliance training to new starters
  • Preparing responses of Complaints in a timely manner
  • Approve and maintain records of personal dealing and gifts, benefits and entertainment requests and conflicts of interest
  • Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
  • Assist in preparation of the half yearly permanent control reports

Key Requirements:

  • 1-2 years of relevant experience within the financial services industry in a compliance role with prior experience working for an FCA regulated firm
  • Comprehensive knowledge and experience in practical application of FCA regulations and the attendant compliance requirements necessary
  • Self-starter with strong execution focus and ability to work independently as well as part of a team
  • Excellent interpersonal and communication skills
  • Good business acumen to identify and connect compliance risks across the organization
  • Ability to effectively balance compliance and business operations
  • Comprehensive knowledge of the FCA Handbook and guidance, as well as JMLSG and other industry guidelines
  • Good understanding of investment services business particularly contract for differences and/or spreadbetting
  • Experience or knowledge of conducting risk assessments.
  • Strong attention to detail

? Demonstrable record of undertaking anti money laundering and sanctions checks and strong knowledge of COBS

  • Previous experience of working closely with Senior Management teams

if you think there is anything else you d like to add you can do so here

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