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Compliance Monitoring Officer
- Posted 09 November 2020
- Salary Negotiable
- Location
- Job type Permanent
- ReferenceLUTERNoVcmp_1604938765
- Contact NameLatiesha Uter
Job description
A brokerage firm are looking to hire a Compliance Monitoring Officer into their growing compliance team, this is a brand new role for the business.
Key responsibilities:
- Develop and strengthen the Compliance Monitoring Programme to identify and conduct, on a risk based approach, strategically important areas of testing
- Work closely with the SMF16 to co-ordinate controls testing
- Provide detailed MI to the monthly Risk Committee report detailing findings and remedial action
- Conduct assurance reviews of the compliance on-boarding and monitoring teams
- Implementation of thematic reviews to target specific business areas
Successful candidates will have:
- Previous compliance monitoring experience ideally within a brokerage
- Knowledge of FX products (desirable)
- A good level of knowledge of TCF, Best Execution, Financial Promotions and On-boarding
- Proficiency in Excel