Description
Regulatory, compliance, advice, policy, FSA ARROW, stocks, futures, CFDs, Forex, Brokers, Dealers, Anti money laundering, review, complaints, audit
My client is looking for a compliance officer/manager to provide regulatory compliance advice and support to their business.
I am looking for a candidate with at least 3 years experience working in stocks/futures/CFDs/forex/brokers or dealers and at least 3 years experience within a compliance role. The role will require you to assist the current head of compliance in all aspects of the company's day to day operations. It is essential that the job holder has excellent knowledge about the products that are offered in the forex, CFD and futures spaces.
The job holder will have to implement and maintain compliance policy to ensure the firm is compliant with all relevant FSA regulatory requirements. For this, you will need to have an in depth knowledge of FSA regulations as well as experience dealing with regulators. The position will require you to prepare and coordinate FSA ARROW visits as well. The right person for this role will actively monitor regulatory developments worldwide and identify, interpret and analyse current and emerging developments for new laws and regulations. A working knowledge of anti money laundering is essential.
My client is looking for someone with knowledge about investigating and measuring the risks of introducing brokers and money managers. Knowledge about FSA regulations & internal compliance policy implementations when introducing brokers and money managers is essential as well. The role will require you to work closely with the sales department, reviewing sales materials, providing advice and answering questions in regards to compliance issues and introducing brokers and money manager business structures.
You will have to provide advice and answer questions regarding complaints, terminations, withdrawals, documentation, 3rd party checks and ad hoc queries. I am looking for a candidate that has a good knowledge of audit concepts and techniques.
The ideal candidate will be a team player who has the ability to think analytically and to measure risk. Honesty, integrity and strong communication skills are a must.
ITHR is acting as an Employment Business in relation to this vacancy.
ITHR is an Equal Opportunities employer; we welcome applicants from all backgrounds.