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Junior Head of Compliance

Entry-level at Michael Page International

Junior Head of Compliance

Entry-level at Michael Page International

  • LocationLondon, UK
  • Position levelEntry-level
  • Job period iconFull-time employment
  • Application deadline iconPosted on 13 Oct, 2018
  • Start date iconStart date:
  • Visa iconVisa Sponsor
  • CompetitiveCompetitive
A recently authorised and rapidly growing stock brokerage in London seeks a motivated Compliance Officer to join their team. You will report directly to the Chief Executive Officer and will be the company's main point of contact with the Financial Conduct Authority (FCA).
Client Details
Boutique stockbrocker.
Description
Main duties include:
- Refine and implement a compliance oversight programme
- Support management in developing business processes and a control
environment which is FCA and MiFID compliant
- Carry out Know Your Client (KYC), Anti Money Laundering (AML), Customer
Due Diligence (CDD), Know Your Business (KYB) checks for existing and
new accounts
- Monitor and review all transactions involving money orders and money
transfers to better identify transactions that might be suspicious, or high-risk
- FCA regulatory filings via GABRIEL system
- Keep up to date with regulatory rules and changes
- Plan, prepare and conduct continuing education for staff
- Client asset oversight (CASS)
- Review marketing materials to ensure that they are compliant with FCA
Profile
* Generalist compliance and monitoring knowledge in a stock brokerage environment
* Bachelor's degree
* Knowledge of UK and EU regulatory regimes
* Familiarity with financial markets and products e.g. fixed income foreign exchange, commodities and equities
* Willingness to hold CF10, CF10a & CF11 within 6 months of joining
Job Offer
Competitive salary.

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