My client, an investment brokerage company based in the City is looking for a Regulatory Reporting Monitoring Analyst to join their team on permanent basis!
The Role:
The succesfull candidate will monitor and ensure that Company's business is conducted in an appropriate manner and in accordance with Regulations - including Financial Services and Markets Act 2000, Exchange Rules and Company Policy.
Responsibilities:
- Responsible for accurate reporting to Exchanges and FCA/Regulatory bodies, regarding large positions reporting and client identification reporting.
- Responsible for accurate large trader reporting in accordance with CFTC Form102.
- Responsible for maintaining accurate records and data in conjunction with regulatory reporting.
- Responsible for monitoring and problem solving with regards to FCA Transaction Reporting.
- To assist in Customer Complaints, where appropriate.
- To assist, where necessary, with reporting of Suspicious Activity Reports and Suspicious Transaction Reports
- To assist, where necessary, with Compliance KYC Audits and other Compliance related audits
- To assist in Worldcheck/Sanction Screening Analysis with Compliance KYC Audits and other Compliance related audits
- Responding to Annual and Adhoc Information Requests from Exchanges and other bodies
Requirements:
- Minimum 5 years of industry products (securities, futures, options etc.) experience.
- Exchange experience gained from within a Compliance/KYC/Audit environment.
- Understanding and previous involvement with regulatory reporting.
- Good understanding of AML/KYC procedures.
- Knowledge of FATCA and CRS would be an advantage.
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