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Compliance Assistant - Retail Broker

HAR2312
35,000
Full Time
Greater London
London
02-03-2021 02:31 PM

We are eager to speak to candidates on behalf of a dynamic and innovative firm - this will be an ideal role for someone looking to progress

Responsibilities

Assist with all compliance and anti-financial crime activities

Complaints

Market abuse surveillance and investigation

Transaction reporting

PEP and EDD,

Assistance with the investigation and monitoring of departmental activities

Experience

Compliance experience from a firm trading in CFDs, FX, Equity, ISA

Experience in dealing with complaints a bonus

Fergus Hooley

DIRECTOR - COMPLIANCE

07425 325267