Compliance Officer

Central London, UK
18 Mar 2019
17 Mar 2019
Contract Type
Level of qualification
Newly qualified, Qualified
I am exclusively retained to recruit for an experienced Compliance Officer for a 10 to 12 months FTC with a strong potential to go permanent. My client has an exciting growth plan and wants to expand their presence within the UK. Their clients range from some of the most active individual day traders through to some of the largest global investment banks. Duties: 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 Onboarding (Onboarding 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 This would be an excellent opportunity for a candidates that is seeking a senior level position. If you're open to hearing about this opportunity further please get in contact with me today for a confidential chat