My client’s activities help to ensure the success of the financial markets across global trading venues
You will be responsible for performing core compliance and non-financial risk management functions, including :
AML and KYC due diligence, regulatory reporting, reputation risk assessments, training, and internal policy reviews
The ideal candidate would have a background in client onboarding and lifecycle management for a financial services institution, and a working knowledge of the expectations for a licensed FCA investment firm. Experience with equity and equity-linked products and familiarity with industry standard terminology is a plus
Responsibilities
* Oversee and support UK regulatory compliance program:
* Assist in collecting initial and ongoing customer due diligence inputs
* Ensure adherence to firm policies and procedures, including proper document retention
* Support FCA registration initiative, including working with external counsel to source requisite information across various platforms
* Provide input into our firm policy framework, and work with stakeholders to identify gaps in existing policies and procedures
* Help ensure that identified risks are escalated to the appropriate personnel
* Provide support for Global compliance and regulatory risk mitigation initiatives
* Partner with Product teams to update compliance procedures when necessary
* Collaborate with Sales and offer subject matter expertise to enhance the overall client experience
Requirements
* In depth knowledge of regulatory requirements for trading venues
* Background and experience in AML and financial crime compliance
* Willingness to serve in an FCA controlled function capacity
* Background in core compliance functions / corporate governance / regulatory risk issues
* Positive attitude and willingness to wear lots of hats
* Ability to multitask and prioritize high volumes of tasks with urgency
* Display goal orientation while maintaining a high standard of accuracy and attention to detail
* Effective written and verbal communication skills
* Ability to serve as a professional liaison with local regulatory authorities
* Desire to work in a collaborative team environment
* Strong sense of independence and integrity