Complinet | Recruitment

Complinet | Recruitment | JobComplinet | Recruitment | JobCompliance Officer and MLROhttp://www.complinet.com/recruitmentjobs/job/details/id/9422£80,000 | Location: City of London | Sector: Compliance & Regulation | Published: October 26th 2009 | Compliance Officer and MLRO London to Â£80,000 THE COMPANY: Our client is a leading trading house who provide exposure to various products including Equities, F/X, derivatives and commodities to name a few. They are currently looking to recruit a new Compliance Officer and MLRO to oversee their small team. This is a ‘hands on' role and is a great opportunity for the right person to get stuck in and drive the business forward. RESPONSBILIES: <ul> <li>Responsibility for the rolling Compliance Monitoring Programme</li> <li>Provide appropriate regulatory training, specifically in relation to AM, TCF and KYC</li> <li>Provide periodic technical updates, as required, to senior Executives and the Board</li> <li>Draft and maintain applicable internal policies and procedures</li> <li>Undertake in-depth research in to regulations in different jurisdictions</li> <li>Investigate suspected breaches of legal and regulatory requirements or internal compliance policies and standards, resolve accordingly</li> <li>Carry out an annual review of all client files as required by the regulator</li> <li>Act as MLRO, for the purpose of reports to SOCA</li> <li>Ensure that complaints by clients are promptly and fairly handled</li> <li>Approve advertising and research material from a regulatory and reputation perspective</li> <li>Assist the FSA and other regulatory bodies/exchanges with investigations</li> </ul> EXPERIENCE: <ul> <li>Previous registration with the FSA is a pre-requisite</li> <li>Sound knowledge of the FSA rules</li> </ul> For further information please contact Duncan Jeffery Compl3577