Operations yst
Mar 15, 2025
Operations Analyst Compliance Specialist
Purpose
The main purpose of this role is to provide support to the Senior Compliance Officer ensuring that the firm adheres to its regulatory and legal requirements. In addition to this is to work in collaboration with the overall Operations Team to ensure timely settlement of trades and subsequent payment instructions. Within this role is the requirement to enhance external client service and communication. As part of the Operations Team other duties that must be managed to enable the smooth running of the overall operational function.
Requirements
Essential Functions and Responsibilities
Core Functions
Client Onboarding
Account Opening Reporting
Compliance Screening Referrals Investigation and external communication with clients and counterparties as required
Reviewing and Approving Referred Funds In
Additional Information Requests to support accounts or payments
Payment Tracer/Recall Requests
Adding New Authorised Account Users
Changing Client Contact Details
Counterparty Communication Additional information requests
Review and Approve Private Client Payments Above 250k threshold
Action Trade Support Inbox
Action Online Payment Instructions Requiring Drawdown
Ad hoc Changes to Client Database (change code manager etc)
Online Demos
Online Portal Issues
HubSpot>isCT Sync
HubSpot Onboarding
Unlock Web Accounts
Resend Verification Emails
KYC Refreshes on Existing Client Base
Affiliate Approval and Registration
Reporting
Client Statements Weekly / Monthly
Deposit Paid / Outstanding
Other Duties and Responsibilities
Make recommendations to improve Systems and Controls
Cover duties required during times of holiday or sickness
Benefits
Salary Band 2830k
23 Days holiday plus Bank Holidays
Annual performance Bonus to max 10%
Requirements Competencies: A collaborative team player, approachable, self-efficient and influences a positive work environment. Demonstrates curiosity. Resilient in a challenging, fast-paced environment. Excels at building relationships, networking and influencing others. Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness. Skills and Experience: Previous experience of between 2-3 years in FX Sales. Strong pricing and structuring capabilities. Entrepreneurial spirit and highly adaptable. Strong problem-solving skills, ability to navigate and simplify complex processes. Good knowledge of FX derivatives. Ability to multi-task and detail oriented. Excellent communication skills, foreign languages a plus. Excellent verbal and written communication skills. Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
