Equiti Group
Compliance Analyst
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About Equiti
Equiti is a pioneering fintech firm and world-class provider of multi-asset fintech products - from liquidity solutions to in-house tech hubs to online trading platforms. With over 400 global specialists in 9 languages, Equiti provides clients with access to individual, professional, and institutional brokerage services in Europe, the Middle East, and Africa.
At Equiti, we believe that financial opportunities can unlock potential for everyone, everywhere. We’re on a mission to deliver accessible online trading products around the world through education and accessibility.
Think finance is stuffy? Think again.
At Equiti, we’re building fintech with a purpose: making wealth tools accessible to everyone. As we continue to grow, we’re seeking talented individuals who thrive in innovative environments.
Compliance Analyst Maternity Cover
Location: London
Responsibilities
- Assisting the Head of Compliance with the execution of the firm’s Compliance Monitoring Programme (CMP), and producing quarterly reports to the Head of Compliance;
- Assisting the team in the review of relevant regulatory updates from the FCA, JMLSG, HMRC, ESMA, FATF, HMT and other relevant Regulations and updating the organization with summary updates;
- Assisting in the identification and monitoring of compliance risk areas in the business and initiate corrective action for avoidance of future breaches;
- Assisting with implementing processes within the firm in order to comply with regulatory requirements;
- Assisting the Head of Compliance maintaining legal & regulatory compliance through proper research & analysis;
- Assisting the Head of Compliance with policies and procedures review and drafting;
- Provide cover for or the oversight of the onboarding of Corporate Professional and Eligible Counterparty clients;
- Assisting in the review and maintenance of compliance records, company retention documents, employee training programmes and compliance registers;
- Assisting the UK Compliance Team with responses to audit requests;
- Assisting in the production of compliance reports and management information and recommendations;
- Assisting the team in the receipt of internal reports and provide relevant reports of any suspicious activity or transaction to the National Crime Agency (NCA) and/or any appropriate governmental agencies;
- Assisting the team with preparing and producing updates to the website and to any intranet circulating Compliance and regulatory material as may be required from time to time;
- Complaint handling (response drafting);
- Assist in any other ad-hoc projects as required.
- Working to a high standard, meeting strict timeframes.
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Skills & Competencies
- Excellent research & analysis skills required to find, examine & interpret relevant regulations, laws & rules;
- Problem solving & critical thinking skills are needed to identify compliance issues, risks, & problems and develop solutions around them;
- Good interpersonal, communication & collaboration skills;
- Team player;
- Culturally astute;
- Strong technical proficiency, verbal & written skills to relay information effectively;
- Ability to be detail-orientated to meet deadlines & achieve compliance standards.
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Experience Requirements
- Relevant experience in Compliance for CFD or similar firm preferred;
- At least 18 months to years relevant compliance experience gained within the UK regulatory environment & preferably in a multi-asset environment;
Perks
Each of our offices has its special perks; be it ‘no ties’, free lunches, charity events, or a hybrid work policy – but whenever you walk into an Equiti office, you’re sure to see a friendly face. We encourage international collaborations and always keep our eyes open to how we can do more.
The benefits you can expect at your Equiti workplace include:
- Competitive salary package
- Medical insurance coverage for employees and family members
- Smart working options
- Employee wellness initiatives
- Company lunch in the office
- Regular company events
With energy, drive, and imagination, there’s no limit to where your career can go at Equiti. With a diverse workforce and geographical spread of offices, we strongly support career development initiatives as well as provide a range of opportunities for professional and life experiences.
Equiti is an equal opportunity employer.
“Equiti” refers to a group of companies consisting of seven regulated financial services companies licensed to operate in the respective jurisdictions of their incorporation, in addition to our tech and marketing hubs. Equiti has presence in Africa, Europe, and the Middle East.
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