Compliance

Job Description

Equifind have teamed up with an exciting digital FX business in London who are looking to add a compliance office to the team who has a strong transaction monitoring background.

The business has grown considerably over the past few years due to high demand and market growth so you have a chance to join a fantastic working environment where everyone has a voice to create a collaborative culture.

As the compliance officer you will be mostly responsible for transaction monitoring and surveillance of trades but youll be expected to pitch in with all the usual compliance activities such as client onboarding AML and KYC.

Key duties and responsibilities for this compliance officer position include:

• Manage the review and actioning of daily market surveillance alerts and electronic communications
• Calibration/tailoring of monitoring systems and design of new tests to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communication systems
• Manage the production of timely and accurate MI on surveillance activity for senior management and committees on market abuse governance and monitoring framework
• Support with enquires regulatory engagements and other enquires relating to the organisations market abuse framework and monitoring framework
• Assist with the annual market abuse risk assessment (MARA) and compliance risk assessment in line with local regulations
• Continuous review of policies and procedures geared around market abuse and compliance monitoring
• Prepare training material and documents for staff members relating to market abuse conduct and financial crime
• Assist with creating a robust and controlled framework for the compliance software
• Handle preparation of material for STOR/SAR notifications to external bodies
• Assist with general compliance and AML activities

Experience & Qualifications

• 2-6 years practical experience in a compliance position
• Strong understanding of surveillance and compliance
• Knowledge of foreign exchange and cryptocurrency markets would be a big plus
• Excellent communication and interpersonal skills
• Attention to detail and strong organizational skills with the ability to manage multiple tasks and prioritize effectively
• Proficiency in using CRM systems trading platforms and other relevant software applications
• Significant knowledge of FCA industry standards regulations and anti-financial crime matters

About the business

A new player in the global financial services space with a strong focus on both the traditional and digital offerings. The company has an exciting management team that has a proven track record in the brokerage sector.

The business has a strong focus on technology and its user-friendly platform is a key component in driving the business forward and offering a high customer experience.

With multiple offices across the globe you will be joining a business in the growth phase and work closely with multiple stakeholders across the business regularly.

You will support the group head of compliance with all the required surveillance duties as well as the wider compliance requirements.

Salary

This exciting opportunity for a compliance officer will ideally start within the next month but we will look at candidates who have a 4-week notice period.

We will be looking at candidates in the range of 55k-65k depending on individual backgrounds qualifications and years of experience.

This is mostly an office-based role with four days required in central London but the company are known for their flexibility.