Junior Compliance Officer
2 weeks ago
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
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