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Compliance intern

United Kingdom,

Compliance intern will support the Compliance Department of this AtoZ Forex approved UK based broker by ensuring that all monitoring and administrative activities are carried out according to the relevant regulatory requirements. Compliance intern will be required to provide a professional service to the business.

Compliance intern responsibilities

Primary Responsibilities:

  • Monitoring
    • Sales teams phone calls and emails
    • Deposits & withdrawals
    • KYC checks on newly opened accounts
  • Administrative assistance
    • Log and archive client communications/ financial promotions
    • Dissemination of eLearning training for new and existing staff
    • Dissemination of policies
    • Keep a record of MI
    • Ensure that all documentation is stored appropriately
    • Account opening (Institutional & Retail clients)
  • FCA registration and withdrawal of Approved Persons
  • General compliance assistance

Qualifications and Experiences

Education

  • BA Degree in business, Law, Finance or economics

Experience

  • No specific prior experience is required

Knowledge – Skills

  • Excellent verbal and written communication skills in English
  • Excellent computer literacy skills.
  • Individual & team player
  • Ability to manage priorities and work flow
  • Strong interpersonal skills
  • Ability to prioritise workload
  • Good attitude and ability to learn and work under time constraints.

Languages

  • Ability to communicate in English.
  • Any additional languages would be deemed an advantage.

Compliance intern competencies

Results Orientation and Delivery

  • The intern should understands and work towards goals set by others
  • Compliance intern should understand all regulations associated with the industry
  • Compliance intern will be working within required deadlines
  • Takes pride in quality of work produced
  • Seeks clarification and feedback if unsure

Fostering Innovation and Change

  • Resolves problems within own area of work makes suggestions to manager for improvements
  • Works with team members to try new ideas and solutions to problems

Building Collaborative Relationships

  • Contributes to team discussions
  • Sees self as a member of the team
  • Willingly fulfills role as team member

Engaging with People

  • Aware of company goals and objectives
  • Takes advantage of training and development opportunities offered
  • Participates in employee engagement schemes

Diversity and Respect

  • Shows respect to others at all times
  • Shares learning with team
  • Follows policies and procedures
  • I treat everyone fairly, with respect and dignity
  • I am polite, tolerant and patient when dealing with others

Managing Excellence

  • Manages self in a professional manner
  • Complies with all policies and procedures
  • Adheres to all company and industry standards and regulations

Responsibility for Actions or Decisions

WELL DEFINED PROCEDURES

Procedures are available which clearly state in the most basic of terms the process to be utilized in carrying out the work. All the “what if scenarios” are clearly mapped out and courses of actions clearly identified. Generally assignments do not require close supervision.

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