CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
To be considered for this role CassonX are looking for someone who is happy to start off in a standalone role and receive training and investment to thus grow over a period of couple of years and perform a wider compliance role. You will have gained some experience experience in a Compliance department focussing on KYC and On-Boarding/Account Opening of customers, ideally from an FX or Broker/Trading environment. Distinct preference being given to those who have worked in a more varied compliance role. You will be a bright, ambitious and individually minded person and prove to be conscientious, hardworking and committed. Candidates with a positive attitude and glass half full mentality would enjoy a distinct advantage during the selection process for the successful applicant.
Some responsibilities once fully trained will include:
Handle client on-boarding, KYC and all client account opening requirements
Develop, implement and administer all aspects of company Compliance Policy and Procedure
Fulfil MLRO responsibilities diligently
Maintain internal compliance procedures, systems and control standards to exceptional levels whilst adopting market best practices at all times
Ensure a comprehensive compliance monitoring and transactional analysis programme is in operation to ensure relevant issues are effectively reported both internally and externally.
Act as main advisory and point of contact for external regulators
Advise the board of directors, senior management and company personnel of emerging compliance issues.
Provide technical expertise, input and advice at various management meetings
Analyse and interpret existing and new laws and regulations, monitor required changes to business practices and advise line management of relevant implications.
Ensure companywide staff compliancy training is kept up-to-date
Build and manage the compliance team, workload, expectations and performance.
More information is available once we have received a relevant CV.
Internal Number: 6512379
eFinancialCareers is a career site specializing in financial services.