Act as SMF 16 (Compliance oversight function) and SMF 17 (Money laundering reporting function) of FxPro UK Limited and be accountable to the Financial Conduct Authority (FCA) for the above functions.
Be the dedicated point of contact with the FCA and other regulatory authorities.
Act as an adviser to the firm’s Board of Directors in relation to current and forthcoming rules and regulations.
Appropriately monitor the clients’ on - boarding and ongoing business relationships as well as the respective processes and procedures and ensure that the relevant employees are fully informed and trained on KYC and AML requirements.
Review and recommend changes, as required from time to time, to the firm’s current internal practices, policies, procedures and controls to ensure compliance with (among others) the FCA’s principles.
Respond to both internal and external compliance enquiries (including client complaints) following a proper investigation and oversee the resolution of such enquiries.
Review and approve financial promotions (where necessary) and provide training and guidance to the Marketing Department’s employees on promotions, client communications etc.
Responsible for the prompt submission of any ongoing and ad-hoc FCA returns/ filings and other notifications to regulatory authorities.
Implement a training and competence programme for the firm’s employees, focusing on compliance and anti-money laundering (including financial crime).
Investigate promptly any suspicious activities (including money laundering/financing of terrorism instances) and ensure that these are reported accordingly.
Oversee and/or collaborate with the relevant business units on compliance and anti-money laundering in regard to the firm’s operations.
University degree in a related field
At least 5 years of compliance experience, ideally within the financial services sector.
Knowledge of the applicable Regulatory Compliance framework is a must.
Knowledge and ability to interpret and apply (among others) the provisions of the FCA Handbook and Joint Money Laundering Steering Group.
Deliver service and support to customers through live chats, emails and phone calls
Provide answers to customers by identifying problems, researching answers and guiding customer through corrective steps
Handle and resolves customer complaints
Provide information to customers in regard to Company’s services and products
Provide quality service and support in a variety of areas including but not limited to System/technical troubleshooting, Login/Account issues, Accounting (deposits and withdrawals) and overall trading enquiries
Maintain a balance between Company policy and customer benefit in decision making. Handling issues in the best interest of both customer and Company
Inform customers about internal regulations and procedures of Company
Follow up on the progress of the response to the customer
Perform general Back Office and Clients Accounting Department duties during night/evening shifts,
Update Customer records
Ensure that all duties are done so in line with the necessary KYC, AML, and Due diligence controls
Provide feedback on the efficiency of the customer service process
University Degree is an advantage but not a must
Native Chinese and good command of the English language
Computer literacy with very good working knowledge of Microsoft Office applications. Fast typing
Flexible, outgoing, problem solving skills, excellent communication skills
Any knowledge of FX industry is considered an advantage
Ability to work in shifts on a rotation basis (00:00-08:00, 08:00-16:00, 16:00-00:00)