Mar 17, 2026
To support the Head of Compliance & MLRO as part of the team to cover all aspects of the Compliance Monitoring Program, and other regulatory issues that impact the firm.
Client Details
International Capital Markets firm.
Description
· Work with the Senior Compliance office to support all onboarding and ongoing KYC/CDD requirements for new counterparties.
· Undertake activities of the Compliance Monitoring Programme - not limited to transaction monitoring, personal account dealing, gifts log,
· Conducting communications monitoring (voice and electronic), ensuring compliance with the Firm's policies and procedures, evaluating issues/concerns, and appropriately escalating to Compliance Management.
· Support of Companies House filings
· Support the Head of Compliance & MLRO to ensure all FCA Reg data returns are filed accurately and in a timely manner.
· Support the Senior Compliance Officer with the preparation of management information.
· Preparation of SMF and...
| IR35 Status: |
Unknown Status
|
CV-Library
City of London, London
Contractor