To support the Head of Compliance & MLRO as part of the team to cover all aspects of the Compliance Monitoring Program, and other regulatory issues that impact the firm.

Client Details

International Capital Markets firm.

Description

· Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.

· Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log,

· Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.

· Support of Companies House filings

· Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.

· Support the Senior Compliance Officer with the preparation of management information.

· Preparation of SMF and Certified applications, & records kept regarding those individuals.

Profile

· At least three years' experience in general compliance, including compliance monitoring, regulatory reporting, KYC, and SMCR.

· Experience within an international banking environment/broker, or similar.

Job Offer

• Competitive salary ranging from £45000 to £50000 GBP.
• 12-month Fixed Term Contract.
• Opportunities to work within a reputable organisation in the financial services industry.
• Potential for extension after initial term of contract.