Junior Compliance Officer recruitment

Reporting to:

Head of Compliance

Principal duties:

• To provide compliance support and advice to the firm;

• To assist in developing policies and procedures to facilitate compliance with laws, regulations and industry best practice;

• To manage the Compliance Monitoring Programme which includes: PA Dealing Analysis, liaising with other departments to ensure completion of tasks, BIC review, Analysis of expenses, market abuse review and submission of STRs, review of the billing system, trade monitoring;

• To ensure that staff are properly registered including submitting FSA applications via the ONA System;

• To ensure that all members and employees have completed the Training Programme;

• Maintaining required registers i.e. Breaches Register, Dealing Errors register, Conflicts register;

• To assist with the full AML/KYC remediation of new and existing clients;

• Ensure that all new clients have received the client categorisation letter and any other required documents;

• Maintain all compliance records and ensure they are up to date;

• To help identify potential risks to the business and enhance systems and controls to ensure the firm is complying with FSA regulations;

• Produce written reports to the Risk Committee focusing on the results of the Compliance Monitoring Programme;

• Take responsibility for own ad-hoc projects;

• To be aware of current regulatory requirements which includes going to industry seminars;

• To undertake any other duties as required by the Head of Compliance, Senior Compliance Officer or Senior Management as may be required from time to time

4.Context:

The role of Compliance Officer plays an important part in the efficient functioning of the firm’s regulatory oversight. The role provides support to the Head of Compliance and to the Senior Compliance Officer in a number of areas that the firm must monitor consistently in order to meet its regulatory obligations.

The role-holder should be able to demonstrate regulatory, legal and commercial acumen at all times.

5.Constraints

No identifiable constraints