Job Description

Roles & Responsibilities

Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies. Advises business partners on compliance programmes and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes. Assists in the development of Compliance programmes and may act as a contact point within the company for Compliance inquiries from partners. Identifies and documents any Compliance risks associated with the Company's activities. Researches and develops analytical reports and solutions for issues being addressed by the department. Participates in training partners and delivering communications on applicable laws and regulations. Coordinates and/or performs activities related to designated Compliance initiatives. Carries out Compliance-related activities through direct interaction with committees and management. Monitors internal procedures and files relating to laws, regulations, rules and standards; and ensures they are accessible to business partners and management. Works on projects and learning project management skills. Communicates with the regulator on reporting obligations and queries, ensuring timely and accurate responses in line with regulatory expectations. Implements and monitors Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) controls, ensuring compliance with local and international standards. Supports periodic AML/CTF risk assessments and assists with investigations into suspicious activities, escalating findings as required. Performs compliance monitoring and testing activities to assess the effectiveness of internal controls and identify areas for improvement. Monitors personal account dealing activities to ensure adherence to internal policies and regulatory standards. Supports Rule Maps review to ensure alignment with regulatory requirements and internal compliance frameworks. Supports compliance risk assessments to identify, evaluate, and mitigate potential regulatory and operational risks. Supports internal periodic reporting to EMEA or senior management, ensuring timely and accurate delivery of compliance updates and metrics.

Desired Candidate Profile

Previous experience in the Compliance field within Capital Market Institutions. CME Qualified Currently or previously a Compliance registered person with CMA. Highly motivated individual who wishes to develop their skills within a progressive compliance role in a financial services environment. Compliance monitoring, AML, Audit, Risk or Control experience and/or experience of providing advisory support to business areas would be an advantage. Ability to convey complex concepts or large amounts of data, in a clear and concise manner to diverse and senior audiences (verbal and written). Capable of making decisions, applies sound judgement and knows how/when to escalate. Ability to operate within strict reporting deadlines whilst balancing multiple, competing priorities. Influencing and conflict resolution skills. Proven and strong learning agility with a keen desire to support the development of others. Self-starter and team player. Effective oral and written communication skills.

Company Industry

• BankingFinancial ServicesBroking

Department / Functional Area

• AccountsTaxationAuditCompany Secretary

Job Description

Roles & Responsibilities

Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies. Advises business partners on compliance programmes and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes. Assists in the development of Compliance programmes and may act as a contact point within the company for Compliance inquiries from partners. Identifies and documents any Compliance risks associated with the Company's activities. Researches and develops analytical reports and solutions for issues being addressed by the department. Participates in training partners and delivering communications on applicable laws and regulations. Coordinates and/or performs activities related to designated Compliance initiatives. Carries out Compliance-related activities through direct interaction with committees and management. Monitors internal procedures and files relating to laws, regulations, rules and standards; and ensures they are accessible to business partners and management. Works on projects and learning project management skills. Communicates with the regulator on reporting obligations and queries, ensuring timely and accurate responses in line with regulatory expectations. Implements and monitors Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) controls, ensuring compliance with local and international standards. Supports periodic AML/CTF risk assessments and assists with investigations into suspicious activities, escalating findings as required. Performs compliance monitoring and testing activities to assess the effectiveness of internal controls and identify areas for improvement. Monitors personal account dealing activities to ensure adherence to internal policies and regulatory standards. Supports Rule Maps review to ensure alignment with regulatory requirements and internal compliance frameworks. Supports compliance risk assessments to identify, evaluate, and mitigate potential regulatory and operational risks. Supports internal periodic reporting to EMEA or senior management, ensuring timely and accurate delivery of compliance updates and metrics.

Desired Candidate Profile

Previous experience in the Compliance field within Capital Market Institutions. CME Qualified Currently or previously a Compliance registered person with CMA. Highly motivated individual who wishes to develop their skills within a progressive compliance role in a financial services environment. Compliance monitoring, AML, Audit, Risk or Control experience and/or experience of providing advisory support to business areas would be an advantage. Ability to convey complex concepts or large amounts of data, in a clear and concise manner to diverse and senior audiences (verbal and written). Capable of making decisions, applies sound judgement and knows how/when to escalate. Ability to operate within strict reporting deadlines whilst balancing multiple, competing priorities. Influencing and conflict resolution skills. Proven and strong learning agility with a keen desire to support the development of others. Self-starter and team player. Effective oral and written communication skills.

Company Industry

• BankingFinancial ServicesBroking

Department / Functional Area

• AccountsTaxationAuditCompany Secretary