Compliance Analyst (Generalist) - FX

Recruiter
MERJE Ltd
Location
London
Salary
45000.00 - 55000.00 GBP Annual
Posted
04 Sep 2021
Closes
02 Oct 2021
Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None

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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