Deputy Head of Compliance
- Salary£60k - £70k Annually
- LocationLondon,
- SectorCompliance & Regulation, Securities & Wholesale Banking, Investment Banking/Stockbroking, Commodities/Futures, Money Laundering
- Referencecompl3839
- PublishedApril 9th 2010
THE COMPANY:
Our client is a leading broker house, which provides a number of services and products to corporate and Private clients. They are recruiting for a Deputy Compliance Officer to join their growing team.
THE RESPONSIBILITIES:
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To proactively ensure the smooth and efficient account management process including:
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Ensuring trading desks are appropriately trained on KYC and account opening processes
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Ensure that firm has the appropriate documentation for all customers and brokers
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Ensure that adequate and appropriate procedures are in place for firm to observe its regulatory duties.
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Act as companies MLRO
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Act as companies Data Protection Officer
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To promote awareness of regulatory issues and responsibilities amongst directors and staff.
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Liaison with managers on documentation issues.
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Ensuring that the appropriate documentation is in place with private clients and corporate clients.
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Ensure all KYC is complete on accounts
EXPERIENCE REQUIRED:
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Relevant experience gained within a Bank, Broker, Commodities House ideally
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Knowledge of Commodities would be a bonus
For further information, please contact Hannah Tabatabai
COMPL 3839
