Senior Compliance Analyst

3 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY: Our client is a leading, dynamic financial services and Brokerage company. They are seeking a Senior Compliance Analyst to join the expanding team in London. Candidates will ideally have FX Broker generalist experience. THE RESPONSIBILITIES:

  • Preparation and review of documentation for high-risk clients, escalating to the MLRO as required;
  • Assisting with review and investigation of internal SARs and STORs;
  • Daily monitoring of transactions in respect of AML and MAR
  • Assisting with ongoing Compliance Monitoring Program obligations, such as Best Execution, Onboarding reviews, call monitoring, financial promotions etc and Complaints’ handling;
  • Assisting with, and providing advice to other teams on, any regulatory matters including AML/CDD, MAR, MiFID II, SMCR, PRIIPs;
  • Development and management of accurate data analysis to enable the Head of Compliance to report to the Executive Committee and Board on key risks, issues and actions taken;
  • Assisting in the preparation of quarterly reports;
  • Development and the ongoing maintenance of policies and procedures to ensure the firm remains compliant with regulations;
  • Assisting with complaints handling for all complaints made against the Firm, its members and/or its staff;
  • Reviewing marketing material, affiliates and websites to ensure compliance with regulatory requirements;
  • Managing the compliance training programme and preparing face to face trainings as necessary;
  • Assist the SMF16/17 on liaison with the NCA;
  • Researching regulations and legislations; acting as advisory support to the Head of Compliance and the firm;
  • Support a wide range of internal initiatives and projects as required from time to time ensuring compliance with regulatory and legislative requirements.
EXPERIENCE REQUIRED:
  • At least 3-4 years’ practical experience in a Compliance role in an FCA regulated firm;
  • Experience in both B2C and B2B will be considered an advantage
  • Excellent technical compliance skills in the areas of COBS, MAR, MIFID II, DISP, CASS, SYSC and PERG.
  • Significant knowledge of anti-financial crime related matters – ABC, Fraud, MAR, Sanctions, AML/CTF, JMLSG guidance for brokerage products etc
  • Proven track record of experience providing expertise and management of compliance issues in an FCA regulated firm;
  • Experience in FCA reporting obligations and communication with the FCA
For further information please contact Spencer Evans #J-18808-Ljbffr

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