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.

Think finance is stuffy? Think again.

We see Equiti as a new breed of broker, and we are on the lookout for talented individuals who can perform and excel in a dynamic and innovative working environment. Our Compliance department would like to welcome a detail-oriented Compliance Manager in our office in London.

Responsibilities

• Oversight of the firm’s Compliance Monitoring Programme (CMP), ensuring that any issues are raised and dealt with promptly and producing quarterly reports to the Head of Compliance;
• 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;
• Be the local face of Compliance and provide feedback and guidance from the UK team with support on regulatory, compliance, market abuse, bribery and corruption issues;
• Onboarding Professional and Eligible Counterparty clients for Equiti UK by obtaining information and supporting documentation to complete KYC due diligence;
• 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 organisation with summary updates;
• Undertaking AML and sanction/PEP screening, on-boarding due diligence checks and ongoing monitoring ensuring that consistent processes are followed in line with global strategy and requirements whilst working and guiding Sales staff in all respect of regulatory compliance;
• Member of the firm’s Client Money Working Group, Regulatory Reporting Committee and the Product Governance Committee;
• Assisting in the review and maintenance of compliance records, company retention documents, employee training programmes and compliance registers;
• 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;
• Assist the Compliance Team in the preparation and provision of staff regulatory-themed training along with providing face to face training on key Compliance topics;
• Assist in the review and monitoring of the day-to-day operation of the firm’s systems and controls, registers and policies;
• Assisting the UK Compliance Team with responses to audit requests and the provision of risk assessments;
• Assisting the UK Compliance Team with FCA reporting returns via online systems;
• Assisting with the production of MI and with scheduling appropriate committee meetings to ensure they are regularly held and documented as required;
• Assisting in the production of compliance reports with analysis 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.