Job Description
XTB UK is looking for a junior level compliance officer. The role sits within the Compliance department covering a variety of areas and working closely with the Head of Compliance and MLRO to ensure that the organisation conducts business in a compliant manner at all times in accordance with FCA rules, company policies and procedures; especially with regards to Preventing Money Laundering and Terrorism financing, Anti-bribery and Corruption risks and Conduct of business rules applicable to the business.
Key Accountabilities:
● Work with the Head of Compliance to implement FCA regulatory requirements into the firm's global
compliance program
● Manage day-to-day operations of the compliance program and conduct periodic compliance reviews
within offices; provide reports to Head of Compliance and senior management where appropriate
● Ensure that policies, procedures and standards of conduct are communicated, understood and
appropriately implemented within the office; deliver training as required
● Implementation of the firm’s Compliance Monitoring Program
● Develop and maintain strong relationships with U.K. employees and provide appropriate advice on
compliance matters; refer issues to Head of Compliance as required
● Monitor changes to U.K. legislation and rules affecting the firm's business and advise management
and staff of the implications of these changes
● Recommend improvements where appropriate and ensure that compliance manual and policies and
procedures are kept up-to-date in light of developing legislation
● Coordinate, manage and participate in any regulatory examinations as needed
● Conduct review and approve KYC files for accuracy and completeness of KYC documentation
● Assist and undertake compliance monitoring, audits and risk assessments
● Assist the Head of Compliance in maintaining Compliance policies and procedures
● Assist in Compliance training to new starters
● Preparing responses of Complaints in a timely manner
● Approve and maintain records of personal dealing and gifts, benefits and entertainment requests
and conflicts of interest
● Assist in the preparation of regulatory reporting returns to the FCA within set timeframes
● Assist in preparation of the half yearly permanent control reports
Key Requirements:
1-2 years of relevant experience within the financial services industry in a compliance role with
prior experience working for an FCA regulated firm
● Comprehensive knowledge and experience in practical application of FCA regulations and the
attendant compliance requirements necessary
● Self-starter with strong execution focus and ability to work independently as well as part of a team
● Excellent interpersonal and communication skills
● Good business acumen to identify and connect compliance risks across the organization
● Ability to effectively balance compliance and business operations
● Comprehensive knowledge of the FCA Handbook and guidance, as well as JMLSG and other industry
guidelines
● Good understanding of investment services business particularly contract for differences and/or
spreadbetting
● Experience or knowledge of conducting risk assessments.
● Strong attention to detail
● Demonstrable record of undertaking anti money laundering and sanctions checks and strong
knowledge of COBS
● Previous experience of working closely with Senior Management teams
We offer:
● Dynamic, highly motivated and social team
● Fantastic career development opportunities
● As a junior role, a large emphasis will be focused on training and development to help improve
skills, where relevant
● The ability to work in one of the most iconic buildings in London, One Canada Square, Canary Wharf
Salary Range: £25,000-£35,000 dependent on experience.
#J-18808-Ljbffr