Junior Compliance Officer

3 weeks ago

London, United Kingdom in Newbury Full time

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

Key Accountabilities:

  • Work with the Head of Compliance to implement FCAregulatory requirements into the firm's global compliance program
  • Manage day-to-day operations of the compliance program andconduct periodic compliance reviews within offices; provide reports toHead of Compliance and senior management where appropriate
  • Ensure that policies, procedures and standards of conduct arecommunicated, understood and appropriately implemented within theoffice; deliver training as required
  • Implementation of thefirm’s Compliance Monitoring Program
  • Develop and maintainstrong relationships with U.K. employees and provide appropriateadvice on compliance matters; refer issues to Head of Compliance asrequired
  • Monitor changes to U.K. legislation and rulesaffecting the firm's business and advise management and staff of theimplications of these changes
  • Recommend improvements whereappropriate and ensure that compliance manual and policies andprocedures are kept up-to-date in light of developing legislation
  • Coordinate, manage and participate in any regulatoryexaminations as needed
  • Conduct review and approve KYC filesfor accuracy and completeness of KYC documentation
  • Assistand undertake compliance monitoring, audits and risk assessments
  • Assist the Head of Compliance in maintaining Compliancepolicies and procedures
  • Assist in Compliance training tonew starters
  • Preparing responses of Complaints in a timelymanner
  • Approve and maintain records of personal dealing andgifts, benefits and entertainment requests and conflicts of interest
  • Assist in the preparation of regulatory reporting returns tothe FCA within set timeframes
  • Assist in preparation of thehalf yearly permanent control reports

KeyRequirements:

  • 1-2 years of relevant experiencewithin the financial services industry in a compliance role with priorexperience working for an FCA regulated firm
  • Comprehensiveknowledge and experience in practical application of FCA regulationsand the attendant compliance requirements necessary
  • Self-starter with strong execution focus and ability to workindependently as well as part of a team
  • Excellentinterpersonal and communication skills
  • Good business acumento identify and connect compliance risks across the organization
  • Ability to effectively balance compliance and businessoperations
  • Comprehensive knowledge of the FCA Handbook andguidance, as well as JMLSG and other industry guidelines
  • Good understanding of investment services business particularlycontract for differences and/or spreadbetting
  • Experience orknowledge of conducting risk assessments.

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

  • Previous experience of working closely with SeniorManagement teams

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