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Full-Time Opportunity: This is a permanent, full-time position with a competitive package and real career growth potential.
Job Description
Key Responsibilities
- Assist in Communications Surveillance of office staff escalating all related issues with the Head of Compliance
- Assist in completing daily transaction monitoring reviews against market abuse escalating all related issues to protect the business
- Conduct regular trade reviews and reconstructions escalating all related issues to the Head of Compliance
- Collaborate with different company departments to monitor enforcement of standards and regulations
- Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate
- Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client
- Communicate efficiently with the respective client and/or broker to gather all necessary information
- Responsible for coordinating all KYC documentation request and ado...