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Compliance Assistant - Retail Broker

Full Time
Greater 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


Assist with all compliance and anti-financial crime activities


Market abuse surveillance and investigation

Transaction reporting

PEP and EDD,

Assistance with the investigation and monitoring of departmental activities


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

Experience in dealing with complaints a bonus

Fergus Hooley


07425 325267