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Compliance – Capital Markets, FX, Payment Services

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My client is a well established investment firm with a strong emphasis on technology providing asset management and financial solutions through capital markets, debt, FX and hedging. The role will involve Supporting the Risk & Compliance Director in keeping up to date with current legislation and regulatory initiatives Assist in interpreting and assessing regulatory impact on the firm Provide advice and guidance to the business Provide and/or co-ordinate Compliance training on all regulatory matters, e.g., AML & Financial Crime, conflicts of interest, certification regime, breaches & incident handling, complaints etc. Provide input to projects and make business changes to ensure regulatory compliant solutions. Assist in the drafting and maintenance of policies and procedures Review existing business procedures to identify regulatory & control gaps. Assist in the development and maintenance of the T&C scheme Assist with preparation of FCA returns, ensuring they are accurate and submitted on time for submission to the FCA Assist in the implementation of the risk-based compliance monitoring plan and areas of the Anti-money laundering and financial crime prevention programme Assist in the preparation of the Annual Compliance Plan The ideal candidate will have a broad knowledge and compliance experience within financial services, in particular Capital Markets, Payment Services, Financial Crime, COBS and SYSC.

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