Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/1182860000 - 70000 Annually | Location: London | Sector: Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingCommodities/FuturesMoney Laundering | Published: March 15th 2010 | <p><strong>THE COMPANY:</strong></p> <p> </p> <p>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.<span style="mso-spacerun: yes;"> </span></p> <p><strong> </strong></p> <p><strong>THE RESPONSIBILITIES:</strong></p> <ul> <li> <div><span style="mso-list: Ignore;"> </span>To proactively ensure the smooth and efficient account management process including:</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Ensuring trading desks are appropriately trained on KYC and account opening processes</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Ensure that firm has the appropriate documentation for all customers and brokers</div> </li> <li> <div>Ensure that adequate and appropriate procedures are in place for firm to observe its regulatory duties.</div> </li> <li> <div>Act as companies MLRO</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Act as companies Data Protection Officer</div> </li> <li> <div>To promote awareness of regulatory issues and responsibilities amongst directors and staff.</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Liaison with managers on documentation issues.</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Ensuring that the appropriate documentation is in place with private clients and corporate clients.</div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Ensure all KYC is complete on accounts</div> </li> </ul> <p><strong> </strong></p> <p><strong> </strong></p> <p><strong>EXPERIENCE REQUIRED:</strong></p> <ul> <li> <div><strong> </strong><span style="mso-list: Ignore;"> </span>Relevant experience gained within a Bank, Broker, Commodities House ideally <span style="mso-spacerun: yes;"> </span></div> </li> <li> <div><span style="mso-list: Ignore;"> </span>Knowledge of Commodities would be a bonus</div> </li> </ul> <p> </p> <p> </p> <p> </p> <p> </p> <p><strong>For further information, please contact Hannah Tabatabai</strong></p> <p><strong> </strong></p> <p><strong>COMPL 3839 </strong></p>