Junior Compliance Officer

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.

● Recommend improvements where appropriate and ensure that compliance manuals 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

● Complete operational and banking tasks such as processing client withdrawals and deposits.

● 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-£32,000 dependent on experience.