A global clearing broker is actively seeking a dynamic Compliance Associate to join their team and contribute to the mission of ensuring comprehensive adherence to regulatory and exchange obligations throughout the firm.
Key responsibilities will include:
- Conducting regular AML reviews of client files, following the company's AML policies and procedures, and assisting in onboarding new potential customers.
- Collaborating with the Head of Compliance, acting as MLRO, to handle daily AML matters and contribute to the annual MLRO report.
- Performing customer due diligence reviews as directed and offering support with client applications and documentation requirements.
- Diligently tracking workflow requirements and contributing to the preparation of Management Information for the Head of Compliance.
- Evaluating issues and concerns and escalating them appropriately to the Head of Compliance.
- Monitoring the progress of agreed-upon remedial actions through to their conclusion.
- Establishing and implementing crucial policies, procedures, and processes aligned with the company's statutory and regulatory obligations, ensuring continuous updates.
- Previously engaged in an environment focused on Exchange Traded Derivatives.
- Proficient in client onboarding, KYC, AML processes, with a comprehensive understanding of relevant regulations.
- Familiarity with the FCA rulebook, as well as a sound understanding of futures and options markets and their trading dynamics.
- Knowledgeable about regulatory requirements, including EMIR, MiFID II, MiFIR, MAR, and AML.
Get in touch or apply for more information!
Eames Consulting is acting as an Employment Agency in relation to this vacancy.