Compliance Associate

MERJE are currently supporting a long established FX/Currency business in their search for a Compliance specialist in London.

You’ll have a fairly wide remit of responsibility, however expected that 50% of your time will be dedicated to managing their Monitoring programme.

Key responsibilities include but are not limited to:

• Undertake regular compliance monitoring in accordance with the annual Compliance Monitoring Plan
• Identify any gaps or weaknesses in the Plan and propose remedial actions.

• Proactively consider compliance policies and procedures and suggest enhancements,
• Periodic regulatory, client & internal report preparation, notifications and returns
• Undertaking ad-hoc investigations, thematic project work and process improvements;
• Maintaining compliance logs; and monitoring contractual compliance obligations.
• Maintain records of gifts and entertainment
• Accurately prepare all Senior Manager or Certified Person Applications
• Supports CCO in communicating regulatory developments, including ensuring that the compliance documentation on the company intranet is up-to-date.

Experience/Skills/Qualifications:

• Relevant Compliance Monitoring experience gained within an FX/Currency/Broking or Trading environment
• Good interpersonal skills and ability to interact with people at all levels
• Strong drafting and report writing skills
• Ability to work on multiple projects simultaneously
• Work collaboratively with all business areas as well as building strong relationships with key business partners;
• Able to work both independently and as part of a small cohesive team;

Applicants must be located and eligible to work in the UK without sponsorship.

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If you would like this job advertisement in an alternative format, please contact MERJE directly.