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Compliance Officer
 
Title: Compliance Officer
Category: Marketing /Product
Job type: Permanent
Job status: Full Time
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Description:
Opening date : 28/09/18

Closing date : 28/10/18

Salary : Competitive

Main purpose of the Role:

To conduct Regulatory Reviews of the firm and its functions through the Compliance Monitoring Programme as part of the Compliance Framework.

To assist the other members of the Compliance Review Team members in the execution of duties.

To conduct internal investigations when directed by Compliance managementTo conduct investigations as required by external Regulatory bodiesTo provide regulatory support and advice to the firms internal stakeholdersKey Responsibilities:

Perform Regulatory reviews (both desk based reviews and thematic) using a risk based approach as defined within the Compliance Monitoring ProgrammeDevelop the Compliance Monitoring Programme with support from the Compliance Reviews Team ManagerLiaising with the Compliance Reviews Team Manager to produce reports based on reviews conducted, to discuss results and recommendations with the business and to assign owners to findingsAssist with tracking findings and recommendations and ensure these are closed appropriately within agreed time linesEscalate issues which are not remediated within agreed timeframes to the Compliance Reviews Team ManagerLiaise with the Compliance Reviews Team Manager, the business and support functions to identify risk areas, investigate issues and agree recommended actionsHelp develop the Compliance Monitoring Programme with support from the Compliance Reviews Team ManagerConduct investigations (regulatory and internal) when requiredProvide advice and guidance to the business and Compliance colleaguesTake on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC/ Cantors groupBe alert to Conduct Risk issues, specifically the risk of harm to client interests, market integrity and/or competition in financial markets due to inappropriate practices or behaviours across the firmEscalate any issues identified to the Compliance Reviews Team Manager according to the escalation proceduresCompliance Risk Management FrameworkProvide input into assessing the effectiveness of the Risk AssessmentsSupport the Compliance Reviews Team Manager, Head of Compliance and the MLRO with investigations of suspicious behaviourSkills / Experience required:

A good understanding of the FCA handbooks and the ability to apply the knowledge to a commercial environmentA good working knowledge of a wide range of financial product and servicesKnowledge of financial products advantageousAppropriate professional/industry qualificationsSome years' experience within a Compliance function. Some experience within a reviews / monitoring role is preferable Experience of a front office environment is preferableThe ability to perform risk based analysis of MI and to identify risks and remediation actionsSystems Used:

Knowledge of trading systems advantageous (e.g. Fidessa, Bloomberg, Reuters etc.)Excellent PC skills including Word, Excel and PowerPointPersonal Attributes:

Excellent communication skills including the ability to articulate information in a clear and precise manner in order to influence thinking and decision making at all levels of the organisationExcellent report writingAttention to detail and ability to spot anomaliesGood organisational and time managementAbility to work autonomously or as part of a team
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