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Financial Regulatory Specialist

2 months ago

London, Greater London, United Kingdom DA Financial Trading Recruitment Full time £30,000
Job Description

A leading financial services company, DA Financial Trading Recruitment, is seeking a highly skilled Compliance Associate to join their team.

The role offers a competitive salary of up to £30k, plus benefits, and is based in London with the option to work from home after 6 months.

The ideal candidate will have previous experience in compliance and a strong understanding of regulatory requirements.

Key Responsibilities:

  • Address compliance and anti-money laundering (AML) requests efficiently and effectively.
  • Assist with the client onboarding process, ensuring all Know Your Customer (KYC) and AML requirements are met.
  • Develop and update compliance policies and procedures to align with changing regulatory requirements.
  • Develop and execute annual compliance testing and action plans promptly for the designated region.
  • Support in the preparation of licensing applications and coordinate regulatory submissions and meetings.
  • Manage oversight of transaction monitoring on client activity.
  • Ensure systems are in place to alert to any risks and review technical requirements to manage governance for the firm.
  • Contribute to oversight of Politically Exposed Persons (PEPs) and Sanctions checking and reviewing this system regularly to ensure it supports full regulatory control.
  • Stay up to date with regulatory changes, including Directives and regulations, and implement relevant changes to the compliance manuals, policies, and procedures.
  • Participate in training and maintaining a culture of compliance and risk management.

Requirements:

  • Experience in gathering and analysing information, drawing conclusions, validating those conclusions, and effectively presenting results.
  • Ability to interact confidently with various stakeholders, including senior client stakeholders, on a project-by-project basis.
  • Desire to work collaboratively with others in an effort to learn and grow as an individual.
  • Opportunity for progression to ACAMS qualification.