Deputy Compliance Officer (Contract)
- Salary£60k - £70k Annually
- LocationLondon,
- SectorCompliance & Regulation, Securities & Wholesale Banking, Investment Banking/Stockbroking, Commodities/Futures
- Referencecompl3841
- 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:
- To proactively ensure the smooth and efficient account management process including:
- Ensuring trading desks are appropriately trained on KYC and account opening processes
- Ensure that firm has the appropriate documentation for all customers and brokers
- Ensure that adequate and appropriate procedures are in place for firm to observe its regulatory duties.
- Act as companies MLRO
- Act as companies Data Protection Officer
- To promote awareness of regulatory issues and responsibilities amongst directors and staff.
- Liaison with managers on documentation issues.
- Ensuring that the appropriate documentation is in place with private clients and corporate clients.
- Ensure all KYC is complete on accounts
EXPERIENCE REQUIRED:
- Relevant experience gained within a Bank, Broker, Commodities House ideally
- Knowledge of Commodities would be a bonus
For further information, please contact Hannah Tabatabai
compl3841
