What are the responsibilities and job description for the Compliance Associate position at FinTop Consulting?
About the company :
To maintain focus on areas of compliance supervision and oversight, we are looking for a specialized Compliance Analyst. The compliance team for the Futures Commission Merchant supports the Internal customer service for the business units.
Roles & Responsibilities :
- In charge of overseeing the company's new accounts department , with the ability to guide trading account openings from start to finish and comprehend several departmental responsibilities involved.
- As the primary point of contact for questions about commissions, suspense accounts, give-up transactions, and new accounts, among other business areas.
- Contributing ideas and insights while supporting tactical projects and campaigns and w orking with other departments ( Risk Management, Operations, Accounting, etc.)
- Route compliance-related concerns to the proper channels already in place for examination and handling .
- Identifies possible areas of risk and vulnerability for compliance ; manages and ranks departmental incoming inquiries .
- Proficient in gathering , analyzing , and disseminating information on compliance regulations; can operate independently.
- Possesses strong multitasking and problem-solving abilities ; and maintains timely and consistent attendance.
Expectations & Requirements :
How You Can Apply :
You can send an email to pearl@fintop.co.uk