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A fully FCA regulated Foreign Exchange brokerage, based in London, with over 15 years of industry expertise and recognised in The Sunday Times top 100 best small companies to work for list. With access to over 130 major and local market currencies and a range of products we offer both our corporate and private clients a strategic streamlined approach to international trading, treasury and risk management.
We are a company that has grown steadily to become a recognised market leader, with a reputation for looking after staff by offering a host of benefits and remuneration packages. From our monthly celebration of success to our annual skiing trip our focus is on harnessing professional talent and maintaining strong client relationships.
Purpose of the Role
To support the Regulatory Compliance and Operational Efficiency Manager by ensuring the monitoring plan is being followed and adhered to. The Compliance Monitoring Executive will review and assess the adequacy and effectiveness of policies, procedures and controls and where required improve any weaknesses.
Performing regular compliance monitoring checks to ensure that the sales and dealing teams are meeting the required professional standards and that our clients are being advised on suitable products.
Coordinating monitoring and surveillance activities.
Documenting and reporting findings and advising on remedial measures to facilitate effective corrective action where deficiencies in compliance with regulations, procedures or best practice have been identified.
Preparing reports to senior management/stakeholders regarding the status of recommendations made as a result of monitoring review findings.
Identifying new and emerging risks from business and regulatory developments and assessing their impact on the monitoring programme
Monitoring the timely closure of agreed actions by management and escalating as appropriate.
Highlighting and record lessons learned for sharing across the Group.
Keeping abreast of best practice and external developments in the area of monitoring and ensure that learning is applied.
Involvement in implementation projects i.e. implementation of surveillance applications/ models
Working alongside Compliance Team to ensure on-going development and maintenance of an effective Compliance function, taking an active part in team meetings, and participation in business planning.
Supporting the Regulatory Compliance and Operational Efficiency Manager with ad-hoc compliance related tasks and reports.
Developing and maintaining a proactive relationship with front office, management, financial, administrative and operational personnel.
Educated to degree level or has previous experience from another financial institution
Previous compliance experience in a MiFID regulated business
Working knowledge of FCA Regulatory Frameworks
Excellent verbal and written communication skills
Fluent understanding of Spanish (will need to be able to listen to and fully understand Spanish telephone conversations and documents but will not be required to speak to clients)
As part of our team we will provide you with a career development plan, with clearly defined objectives to ensure that you succeed. This is an opportunity to take a real step forward in your career with an organisation dedicated to its people.