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Overview
We are an independent agency brokerage dealing exclusively for our clients.
We have a well-developed network of liquidity providers coupled with street wide relationships offering valuable knowledge and insight. We cover institutions across the globe, including investment banks, hedge funds, asset managers, pension funds and large corporates.
We are looking for an experienced Compliance Associate to join our team. Compliance is responsible for ensuring that Avalon has internal controls that adequately measure and manage the risks it faces. The Compliance Associate is required to stay abreast of the rapidly changing regulatory environment ensuring that Avalon's policies and procedures are updated and adhered accordingly. The role requires collaborating with multi stakeholders, the ability to deliver results and anticipate and identify relevant issues which may arise from the continuously evolving business strategy and regulatory environment.
The Compliance Associate reports to the Head of Compliance
Responsibilities
Carrying out due diligence checks for all new business relationships
Reviewing due diligence for all existing client on a risk-based approach
Ensuring Compliance policies and procedures remain up to date
Managing Compliance training for all staff of Avalon Capital Partners
Carrying on background checks on all new staff members in order to assess their fitness and propriety to carry out their role
Conduct ongoing Compliance monitoring to ensure compliance with Avalon's policies and regulatory requirements
Production of quarterly MI outlining Avalon's compliance risk, actions required and regulatory developments to be aware of.
Competencies and qualifications required
Educated to degree level
Basic understanding of equity and FX markets
Team player with effective communication skills and demonstrated ability to work with multiple partners and stakeholders
Well organised, disciplined approach to work with a high level of attention to detail
Ability to manage multiple relationships internally and externally
Strong negotiation skills
Adaptable and comfortable working in a dynamically changing environment
The successful candidate will be subject to the Individual Conduct Rules of the FCA.
Salary: £30,000-£33,500 depending on experience
Location: London
Closing date for applications: 29 November 2020