Compliance Analyst (Generalist) - FX
- Recruiter
- MERJE Ltd
- Location
- London
- Salary
- 45000.00 - 55000.00 GBP Annual
- Closing date
- 21 Sep 2021
View more
- Employer Sector
- Banking & Finance - Retail
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance, Compliance & Regulation
MERJE have been engaged exclusively to work this reputable global FX business. Our client is part of a wider group of companies which employs over 2,500 employees globally and provides banking and brokerage services to around 65,000+ clients worldwide.
They have a number of global offices, and due to some recent structural changes in their London office, they are actively looking to recruit a capable Compliance Analyst to join their existing team.
Key Requirements:
The Regulatory Compliance Department ensures the firms operate in compliance with FCA regulation.
The Compliance function has responsibility for FCA reporting, management reporting, risk assessment and development of a risk-based monitoring programme, advisory responsibilities including providing support for staff training and providing day-to-day assistance for front office staff, participating in the establishment of new policies and procedures.
- Work alongside other members of the Compliance team to develop a robust monitoring/testing plan
- Execute compliance reviews
- Monitor Front Office activities in general for conduct and adherence to rules, analysis of issues identified, escalate where necessary and agree actions to address
- Test controls to make sure the business is operating in a compliant manner
- Provide support to the Compliance team on new project work driven by the changing regulatory environment
- Collaborate with team to ensure that policies and procedures accurately reflect practice
- Ad-hoc generalist Compliance including monitoring team inbox
- Influence and improve conduct and culture throughout the business
- To provide concise and meaningful management information to the firms executive and Board & Senior Managers, e.g. Monthly compliance reports, Quarterly Board reporting etc.
- Ensuring the company is GDPR compliant
Expertise required:
- 2-3 years of broad based Regulatory/Compliance experience ideally gained within an FX environment
- Technical knowledge of FX financial instruments, hedging, trading and OTC derivatives in general would be a plus
- Must have some understanding of front and back office operations, practices, products, including industry practices, market regulations and policies and procedures;
- Familiar with practical implementation obligations resulting from MiFID II, MiFIR, EMIR rules and guidance.
- Self-sufficient individual with strong communication skills
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