Compliance Officer

Advertised on : 28 Dec 2017 | Closing date : 28 Mar 2018

  Job Reference : 09756

Compliance Officer


£50,000 - £70,000 per annum

Job Profile

Our Client is a leading Japanese online FX trading company seeking a candidate with experience in FX/CFDs industry

Main Responsibilities

  • Carry out the Compliance Monitoring Plan (CMP) as a member of staff responsible for following and carrying out the CMP schedule, in relation to all required staff and departments within the company
  • Responsible for FCA return, FCA connect, FCA invoice, and FCA Online Invoicing
  • Responsible for Reports to the parent company such as Monthly/Quarterly/Yearly Compliance Report, Group Risk Report, and Regular Compliance Check report, etc.
  • Handling and continuous assessment of the company’s KYC/AML procedures and jurisdictional risk assessments, and ensuring internal systems and procedures are compliant
  • Supervision of Account Opening Assistant staff, and outsourced Account Opening operations to group companies
  • Management of the company’s AML and KYC systems, and Account Opening procedures
  • Carrying out internal procedures
  • Approve and monitor the company’s marketing materials and activities
  • Responsible for maintenance of client-facing legal documents and internal procedure
  • Be informed and updated about FCA regulations, and related laws & regulations affecting the company’s business, including EMIR & MiFID
  • Keeping all staff informed and updated about Compliance matters relating to all staff and departments
  • Arranging required compliance staff training on a timely basis
  • Ongoing monitoring and supervision of the company’s outsourced Client Services operations to group companies
  • Official client complaint handling
  • Organise Risk committee timely basis
  • Prepare and update the company’s ICAAP document timely basis
  • Manage external compliance advisers
  • Other language related tasks and support to the company’s business development, as directed by the company’s management team

Who we are looking for

  • Great attention to the details, be able to meet deadlines
  • Experience with FX/CFDs firm
  • Experience with Internal IT and infrastructure
  • Business planning and presentation internally and externally
  • General skill for communication and negotiation
  • Good people skills, good interaction with people internally and externally


Eligibility to work in the UK without restriction.


Functional Areas : Banking and Financial Services;Compliance
Type of Employment : Permanent
Work Location : (London)

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