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Exclusive - Compliance Associate

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

A Boutique Interdealer Brokerage firm based in London is looking to recruit a Compliance Associate to join the business to assist with the day to day compliance duties with a development plan in place to one day progress to be the Compliance Officer & MLRO(SMF16 & 17).Main Responsibilities:

  • Keep up to date with relevant regulatory changes from the FCA
  • Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls
  • Provide advice to the business on regulatory matters
  • Create and/or update policies and procedures
  • Respond to ad hoc queries from the wider business
Job Requirements:
  • At least 2 years generalist Compliance experience from a similar brokerage environment
  • Experience of FCA Connect advantageous
  • Excellent communication skills, both written and oral
  • Strong interpersonal skills and the capability to work with all levels of personnel with a high degree of integrity and maturity
The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannotreply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.Unless otherwise stated, candidates must have the right to work in the UK.

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