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Compliance Monitoring Officer

  • Location London
  • Job-type Permanent
  • Reference LUTERNoVcmp

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