Compliance Monitoring Associate

Role details

CassonX are delighted to be recruiting for this City of London based CFD, FX and Equity trading business, where the CEO is a long-term customer of CassonX. This opportunity will sit within their growing compliance department working with some very personable individuals. We are very excited about recruiting for this company, and have already placed senior individuals within their business who are market leaders attracted by this proposition. This firm offers well above average bonuses, hybrid working conditions, fabulous new offices, and a relaxed but high-achieving culture.

To be considered for this role, CassonX are looking to identify someone who has strong experience in Compliance Monitoring ideally in a similar Trading or FinTech firms, preference will be given to those who has retail trading exposure.

The ideal candidate will be exposed to Compliance Monitoring Plans, Investigations of Compliance Monitoring Plans, Reporting, Remediation, managing Documentation and more.

Further responsibilities include:

• Compliance monitoring in accordance with the annual Compliance Monitoring Plan.
• Identify gaps or weaknesses in the Plan and propose remedial actions.
• Regulatory Requirements.
• Support wider compliance team.
• Implementation of frame works
• Mitigating Risk

Job description is available to all those who submit a relevant CV.

CassonX Limited are committed to providing fair employment opportunities to all applicants. We encourage anyone to apply, regardless of their background, and promote a fair and inclusive recruitment process based on merit. If you require any assistance throughout the interview process to improve your experience, kindly let us know.