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Operations Analyst/Compliance Specialist

2 months ago

London, Greater London, United Kingdom Fintech-Rec Group Ltd Full time
**Operations Analyst/Compliance Specialist**

Fintech-Rec Group Ltd is seeking a highly skilled Operations Analyst/Compliance Specialist to join our team. This role is responsible for providing support to the Senior Compliance Officer to ensure the firm adheres to its regulatory and legal requirements.

**Key Responsibilities:**
  • Client Onboarding: Manage the onboarding process for new clients, ensuring all necessary documentation is completed and approved.
  • Account Opening and Reporting: Review and approve account opening requests, and ensure accurate and timely reporting of client activity.
  • Compliance Screening and Referrals: Conduct thorough compliance screening of clients and counterparties, and investigate any referrals or suspicious activity.
  • Review and Approve Referred Funds: Review and approve referred funds, ensuring all necessary documentation is complete and accurate.
  • Additional Information Requests: Respond to additional information requests from clients or counterparties, and ensure all necessary documentation is completed and approved.
  • Payment Tracer/Recall Requests: Manage payment tracer and recall requests, ensuring all necessary documentation is complete and accurate.
  • Adding New Authorized Account Users: Add new authorized account users, ensuring all necessary documentation is completed and approved.
  • Changing Client Contact Details: Update client contact details, ensuring all necessary documentation is completed and approved.
  • Counterparty Communication: Communicate with counterparties, ensuring all necessary documentation is completed and approved.
  • Review and Approve Private Client Payments: Review and approve private client payments above the 250k threshold.
  • Action Trade Support Inbox: Manage the action trade support inbox, ensuring all necessary documentation is completed and approved.
  • Action Online Payment Instructions Requiring Drawdown: Manage online payment instructions requiring drawdown, ensuring all necessary documentation is completed and approved.
  • Ad-hoc Changes to Client Database: Make ad-hoc changes to the client database, ensuring all necessary documentation is completed and approved.
  • Online Demos: Provide online demos to clients, ensuring all necessary documentation is completed and approved.
  • Online Portal Issues: Manage online portal issues, ensuring all necessary documentation is completed and approved.
  • HubSpot: Manage HubSpot, ensuring all necessary documentation is completed and approved.
  • Unlock Web Accounts: Unlock web accounts, ensuring all necessary documentation is completed and approved.
  • Resend Verification Emails: Resend verification emails to clients, ensuring all necessary documentation is completed and approved.
  • KYC Refreshes on Existing Client Base: Conduct KYC refreshes on the existing client base, ensuring all necessary documentation is completed and approved.
  • Affiliate Approval and Registration: Approve and register affiliates, ensuring all necessary documentation is completed and approved.
**Reporting:**
  • Client Statements: Prepare and distribute client statements on a weekly and monthly basis.
  • Deposit Paid/Outstanding: Manage deposit paid and outstanding reports, ensuring all necessary documentation is completed and approved.
**Other Duties and Responsibilities:**
  • Making Recommendations: Make recommendations to improve systems and controls, ensuring all necessary documentation is completed and approved.
  • Covering Duties: Cover duties required during times of holiday or sickness, ensuring all necessary documentation is completed and approved.
**Benefits:**
  • Salary: £28,300 - £30,000 per annum.
  • Holidays: 23 days holiday plus bank holidays.
  • Annual Performance Bonus: Up to 10% of annual salary.
  • Other Benefits: Fintech-Rec Group Ltd offers a range of benefits, including [list benefits].
**Requirements:**
  • A Collaborative Team Player: We are looking for a collaborative team player who is approachable, self-efficient, and influences a positive work environment.
  • Demonstrates Curiosity: The ideal candidate will demonstrate curiosity and a willingness to learn and grow.
  • Resilient in a Challenging Environment: We require someone who is resilient in a challenging, fast-paced environment.
  • Excellent Communication Skills: Excellent verbal and written communication skills are essential for this role.
  • Experience in a Regulated Environment: Previous experience in a regulated environment is highly desirable.
  • Knowledge of Risk and Compliance Requirements: A good knowledge of risk and compliance requirements is essential for this role.