Compliance Assistant (ETC Brokers)

Our client is a Futures and Options Traders and Brokers part of large global corporation. They are looking for a graduate Compliance analyst who is used to working in a small firm who will have had exposure to a range of compliance functions. It is a very hands on, high quality small team.

This is a broad and varied role to assist with the smooth running of the Compliance & Legal Department, supporting the Head of Legal & Compliance and other staff in the department. The role would suit a candidate keen to be a generalist compliance professional with exposure to all areas of compliance relevant to the firm. Key duties are expected to include:

Issuing letters to customers and business partners (e.g. finalising, printing out and posting).

• Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
• Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
• Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
• Carrying out due diligence on third party outsourced service providers.
• Performing the department's tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
• Reviewing existing compliance policies and procedures and draft amendments to new procedures, where required.
• Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
• Providing staff training on compliance matters.
• Completing and submitting returns and reports to the FCA and other authorities.
• Maintaining and updating databases.
• Preparing management information and reports to internal stakeholders.

• Ad hoc research on FCA rules and laws and regulations affecting the firm.
• Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems etc

• Previous experience (ca. 2-4 years) of working within a compliance/legal department is preferred. Financial services (Regulated environment) experience would be advantageous.
• Passion for compliance and regulatory work and eager to learn from others and independently.
• Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills.