7 Junior Compliance Officer

TRV107 Junior Compliance Officer (vacancy fulfilled)
Posted 6 years ago
Our client is an independent European multi-asset class broker, primarily operating as an intermediary for Financial Institutions, Corporate Clients and (semi) Government bodies.
With offices in Amsterdam, London, Zurich and Frankfurt, they offer a range of Fixed Income, Interest Rates, Energy / Environmental, Exotics, Equity and Equity derivatives products and a variety of market information and data services. The company has over a 100 employees.
We are looking for a Junior Compliance Officer. The Compliance Department is the key link between the experienced traders on the one hand and clients, external parties and internal stakeholders (back office, accounting) on the other hand.
The primary responsibility of the department is to facilitate and control the client onboarding process and to ensure the company is being compliant with all relevant laws and regulations, starting with handling KYC-requests to annual client renewal, regulatory reporting etc.
Additionally, the small experienced team has an important role in facilitating the operational environment, where several inhouse systems are operated and different internal procedures apply.
Job description - to serve all front desks, regulated and non-regulated products and instruments - Start up and monitor KYC process - Maintaining onboarding documentation - Communications with prospects and (internal) brokers - Assessment of client onboarding risk - Preparing 'difficult' cases with high risk - Annual renewal process and maintenance of client database and documentation
Profile - Bachelor degree (HBO/WO) in Law/Economics or equivalent; - 0-2 years working experience; - Affinity with the financial industry; - Strong analytical skills; - Ability to work accurately, take initiative and solve problems effectively; - Ability to work independently and as an assertive team player; - Experience with KYC is an...