Compliance Monitoring Specialist
Compliance Monitoring Role within a currency exchange brokerage
Fast paced compliance monitoring role based in Canary Wharf
About Our Client
The client is a rapidly growing currency exchange brokerage based in Canary Wharf. They are looking to build out their compliance monitoring team to assist the front office continue on their current rate of growth.
They have a strong culture of compliance and are looking for someone to come in that will be comfortable dealing with the front office and occasionally challenging any queries their monitoring might flag.
- Support the delivery of a risk-based compliance monitoring plan;
- Deliver timely compliance monitoring reviews, demonstrating adherence with the Firm's compliance policies and procedures;
- Perform call listening activities with a strong focus on compliance with Treating Customers Fairly;
- Preparing detailed and clear reports of findings arising from monitoring reviews, working with key stakeholders to assist with the development of remediation plans;
- Monitoring and reporting on the status of implementation of remedial actions;
- Providing appropriate reports or information to the Head of Compliance and assisting with the preparation of any reports or papers as required;
- Periodic testing, review and approval of financial promotions;
- Promote a culture of compliance throughout the business;
- Assisting with regulatory returns;
- Contributing to the development of policies and procedures by identifying areas of weakness and making suggestions for improvement;
- Remaining abreast of regulatory and legislative developments.
The Successful Applicant
- Demonstrable understanding of FCA regulations which impact the Firm;
- Must have previous experience with Call Monitoring, specifically within a compliance team, based in a Financial Services organisation;
- Must have previous experience with Control Testing, specifically within a compliance team, based in a Financial Services organisation;
- Understanding of 'Treating Customers Practice' and why that benefits a business in practice.
- Strong knowledge of recent regulatory developments within Compliance;
- Appreciation and ability to interpret regulation and legislation;
- Previous experience performing call monitoring/listening activities.
- Excellent verbal, written and presentation skills with the ability to clearly communicate regulatory information;
- Analytical and problem-solving skills, with the ability to produce work within set timescales;
- Attention to detail;
- Strong IT skills and proficiency in Excel.
What's on Offer
Up to £40,000 per annum
Contributory Pension Scheme
Annual Payment Reviews