Senior Compliance Associate (Corporate)
FXCM Inc. (NYSE: FXCM) is a global online provider of foreign exchange (forex) trading and related services to retail and institutional customers world-wide.
At the heart of FXCM's client offering is No Dealing Desk forex trading. Clients benefit from FXCM's large network of forex liquidity providers enabling FXCM to offer competitive spreads on major currency pairs. Clients have the advantage of mobile trading, one-click order execution and trading from real-time charts. FXCM's U.K. subsidiary, Forex Capital Markets Limited, also offers CFD products with no re-quote trading and allows clients to trade oil, gold, silver and stock indices along with forex on one platform. In addition, FXCM offers educational courses on forex trading and provides free news and market research through DailyFX.com.
Purpose of Role
The Senior Compliance Associate is responsible for carrying out day to day tasks within the department such responding to regulatory requests, responding to inquiries from external departments and handling of Associate Persons and Branch Managers licensing and registration.
Principal Duties Responsibilities
- Provide advice, analysis and/or resolution on compliance related concerns and answer queries from various departments
- Review and produce compliance policies and procedures as needed to ensure that they are up to date
- Coordinate with other business units on transfers of business, mergers and acquisitions, and integration projects
- Coordinate with other business units on new product and services launches
- Coordinate review of existing, new and proposed regulations that are relevant to the firm and communicate to the appropriate business lines
- Serve as project leader on projects as needed
- Review and approve client communications and/or promotional materials as needed
- Assist in general responsibilities and designated tasks of the Compliance program
- Develop and provide guidance to team members
Critical Knowledge, Skills Experience
- 2-4 years Compliance or relevant department experience at a Retail Foreign Exchange Dealer or Broker Dealer
- Working knowledge of regulatory requirements with respect to but not limited to anti-money laundering, NFA/CFTC regulations
- Self-starter and able to work with other departments and build smooth working relationships
- Team player and able to prioritize in a fast moving, constantly changing environment
- Strong research skills; analytical and problem solving skills; and attention to detail
- Excellent organizational skills and ability to manage multiple tasks
- Strong knowledge of regulations and Compliance requirements
- Self-motivated and ability to effectively multi-task
- Effective decision-making abilities
- Ability to identify, develop and recommend “best practices”
- Ability to manage in a dynamic, fast-paced environment
- Excellent verbal and written communication skills
- Ability to develop and maintain positive and effective partnerships with colleagues and internal customers
- Exceptional project management skills
Interfacing with:
- Compliance Management
- Compliance ME, RRD AML Teams
- Internal/External Audit
- Regulatory Bodies
- External departments including but not limited to Operations, Sales and Project Management.
- Senior managers and executives
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