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Compliance Officer - Spread betting

  • Location: London
  • Salary: £400/day - £500/day
  • Job type: Contract/Temp
  • Job reference: NE170340
  • Sector: other Financial Services
Job Description

Compliance Officer

£400/day - £500/day

6 month contract

London

Primary Responsibilities: 

  • Monthly CMP maintenance, including, best execution monitoring, cash deposit/withdrawals, risk and error monitoring, KRI’s, training
  • Monthly report preparation for Board, including CMP, updates on staff, department issues, etc
  • EMIR & MiFIR oversight
  • Monitor effectiveness of policies and procedures and staff’s adherence, i.e. AML, MAR, GDPR, etc.
  • General GDPR management, client documentation retention and internal point of contact for any client data (although overall management is conducted by someone else), ensuring adherence to the GDPR Manual at all times
  • Complaints handling
  • Liaise with Head of Risk and Finance to ensure continued compliance and to identify any areas that need to be addressed by management and at Board level
  • Large payment oversight – ensure details match up to those held on file, or are pre-approved
  • Compensation scheme report to local regulator
  • Review of client on-boarding (on-boarding conducted by separate team), compliance sign off, including classification
  • Updating internal compliance systems for monitoring and controls
  • Sign off and review for ongoing client monitoring (file reviews etc)
  • Liaise with counterparties regarding updates to KYC or any requests for information.
  • Reviews of White Labels and Introducing brokers, i.e. new introducers KYC or updates to exiting
  • Renewal of business/trading names
  • EEA branch oversight, ensuring all functions conducted are compliant with the FCA, including Connect applications for Control functions
  • Liaise with internal legal counsel regarding any ad-hoc agreements needed
  • Dealing with employee queries regarding client trading

 

Key Relationships / Stakeholders:

  • Regulators in specific jurisdictions
  • Senior Management
  • Liaise with internal team and third-parties across the business where applicable



Specialist skills and experience

 

Essential

  • Experience in relation to compliance and regulatory developments within Compliance;
  • Demonstrable understanding of FCA regulations (ICOBs, FCA handbook etc.);
  • Experience in an FCA regulated financial services firm
  • An understanding of risk management, control and governance.
  • Experience in completing compliance assessments across numerous departments;
  • Experience in working as part of a team, and confidence to adapt to frequent changes in requirements
  • Ability to work with a high level of accuracy and meet strict deadlines ability to act on own initiative and fulfil objectives;
  • Proven analytical and problem-solving skills, with the ability to produce work within set timescales
  • Excellent verbal, written and presentation skills with the ability to communicate regulatory information to stakeholders;
  • Strong business presentation, writing and communication skills;
  • Strong skills in using Microsoft Office packages

     

    Desirable

  • Compliance qualification e.g. ICA certificate or diploma or equivalent qualification. Desirable not essential

Competencies / Behaviours

  • Relationship management
  • Focus on results
  • Planning and organizing
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