Senior Compliance Officer

2 weeks ago

South East 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

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