A direct vacancy from www.russiansinthecity.eu
The role is essential to assisting the business in maintaining regulated status. The post consists of assisting in the identification, implementation and monitoring of the company’s regulatory risks.
Responsibilities:
* Monitoring of KYC/Account Opening;
* Assisting in the provision of Compliance and AML training to staff;
* Reviewing and approving financial promotions;
* Investigating and resolving client complaints;
* Liaising with the Financial Ombudsman with regard to complaints referred to FOS;
* Monitoring of accounts and payments;
* Producing and reporting of management information;
* Helping to build a positive image of compliance with staff, senior management, regulatory bodies, and business partners;
* Compliance Monitoring in line with the Compliance Monitoring and Audit Plan;
* Keeping up to date with FCA and other rules;
* Providing guidance to and liaising where necessary with other business units;
* Producing précis of FCA publications if required; and
* Otherwise supporting compliance within the business as directed by the Global Head of Compliance, Deputy Head of Compliance and other members of the Management team.
Educational / Experience Requirements:
* Account Opening/KYC exposure;
* Previous experience of FX/CFDs/Spreadbetting would be preferable but not essential;
ROLE DETAILS
Name: Reports To: Deputy Head of Compliance
Title: Compliance Executive Direct
Reports: None
Working Hours: 9-6 Location: London, UK
Skills and Competencies:
* Word, Internet, Excel essential. Other products and software experience desirable. Chinese language skills would be advantageous but not essential.
Personal Specification:
* Good communication, analytical and interpersonal skills.
* Able to work on own initiative and within a team.
To apply please submit your CVs to pastukhovpp@gmail.com
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