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Job Specification

Compliance Assistant – CFD / FX Experience needed (Including KYC)

£ 35000 - £ 45000
Ref: 3503J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our Client, a leading financial services provider of CFDs and FX, are looking to recruit a Compliance Assistant to support the Head of Compliance and the wider Compliance Team with the responsibility of providing assistance to the oversight of regulatory and compliance issues. Reporting to the Head of Compliance, duties will include:

  • Undertaking risk based compliance monitoring reviews on all areas of business, including best execution, transaction reporting, best execution and client money
  • Identifying and monitoring product, compliance and operational risks to develop risk management strategies
  • Identifying and implementing new EU and UK regulatory initiatives
  • Manage and maintain various internal registers, including breach register, PA Dealing and gifts & hospitality registers
  • Ad Hoc projects as required

The ideal candidate will have good general compliance knowledge as well as previous KYC experience from a similar CFD/FX organisation.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com                                    

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