Job Overview

Apply now Compliance Officer - FX / CFD (CF10, CF10a, CF11) A well-established global firm based in the heart of the City of London is looking for a Compliance Officer to oversee the compliance function for its FX and CFD business. This position will be the registered function for CF10, CF10a, CF11 with the FCA, and have responsibility for all aspects of compliance & operations for this part of the business. TYPE: Permanent, full time LOCATION: City (St Pauls / bank area) START: ASAP SALARY: £40K - £50K - depending on experience JOB OUTLINE: Maintenance of clear and appropriate apportionment of significant responsibilities so it is clear who is responsible for areas of the business and to ensure the business can be adequately controlled and monitoredEnsure that appropriate systems are in place to monitor risksMaintenance of compliance monitoring programmeDeal with external organizations including: the FCA, FOS, auditors and external compliance consultantReporting to senior managementMonitor systems to ensure that they are working as intended, through completion of firm's risk based monitoring program in compliance with FCA's rulesMaintenance of the risk register and ICAAP, including monitoring of firm's capital requirementPreparation and submission of reports and regulatory return to FCAMaintenance of register (and notifies FCA if required) of FCA rule breaches and takes appropriate remedial actionIdentification and management of money laundering risksPreparation and submission of annual MLRO report to managementReceive internal AML reports from firm's staff and report to NCA, where requiredManagement and oversight of new client on-boarding processResponsible for client money reconciliations & CASS resolution packCompleting the client money asset returns monthlyAssist in updating of CASS policies and proceduresEffectively reviewing client transactions daily to ensure the treatment of client money/custody assets is compliant with the CASS rules IDEAL APPLICANT: Bachelor degree holder or above in Law, Business, Finance or related disciplines3+ years' experience in a CF10, CF10a & CF11 FCA controlled function is essential3+ years relevant experience in FX & CFD industryKnowledge of the CASS rulebook and how to apply the rules to a firm's operationsGood communication and organisation skillsWilling to work in a small office in LondonExcellent English (written and spoken) skills If your application is successful, you will be contacted within 2 days. We regret that due to the high volume of applications we receive we cannot provide feedback on individual CVs.

Key Requirements

Compliance Compliance Monitoring Financial Services Foreign Exchange Compliance Procedures