It's a global broker dealer agency business, providing direct access trade execution and clearing services to institutional and professional traders for a wide variety of electronically traded products including stocks, options, futures, forex, bonds, CFDs and funds worldwide.
This is a unique opportunity which provides exposure across both Compliance and Financial Crime. It's a broad and dynamic role where you will be responsible for performing Market Surveillance / Trade Surveillance, Compliance Monitoring as well as the core AML/KYC due diligence.
Your responsibilities will specifically include:
Assist with any queries relating to KYC processes to ensure adherence to internal procedures and industry best practice;
Interact with our onboarding team, etc. to obtain KYC and other compliance information and documentation on a case by case basis;
Suggest and implement new efficiencies in the on-boarding process;
Perform rolling due diligence especially with regard to PEPs, and other high risk accounts and AML-related reviews;
Assist with transaction reporting and any other relevant reporting requirements;
Daily sampling of registered telephone conversations and emails /chat rooms correspondence;
Daily monitoring of Counterparty trading exposures;
Updating of Restricted Trading lists / Regulatory issuer share capital disclosures;
Assisting with the updating of compliance manuals / policies and procedures;
Assisting with the Due Diligence process relating to the take on of new managed account Clients, Introducers, Consultancy and Distribution agreements.
Knowledge of Market Surveillance or Trade Surveillance or Compliance Monitoring or Trade Monitoring
Knowledge of AML procedures and standards within financial services
Previous Retail experience and knowledge of FX, CFDs and spread betting would be highly beneficial
A relevant degree would be beneficial.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV or call 0203 189 4317 to discuss further.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.