Compliance
Mission Statement
The purpose of the Legal & Compliance Department is to ensure that the business adheres to all external regulatory rules and internal controls in the most consistent, effective and efficient ways possible and acts to deliver good outcomes for retail clients in line with the Consumer Duty.
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Get Your Questions Answered
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What does the Compliance Department at Spreadex do?
The Compliance Department has sub-teams that specialise in specific areas of compliance work types, Sports Compliance, Financials Compliance, and Anti Money Laundering and KYC monitoring.
The team conducts internal account reviews, risk assessments, handles relevant business and customer queries, complaints, internal monitoring and auditing, amongst various other work types in relation to upholding our internal policies and regulatory requirements.
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What Training Opportunities are available?
Spreadex provides numerous courses on our online training hub, and, where relevant to the role, has supported individuals in the completion of personal qualifications.
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What skills are important for a member of the Compliance Department?
A high standard of; communication skills (oral and written), integrity, attention to detail, analytical thinking, and business acumen. The environment can be fast-paced, so time management and the ability to effectively prioritise are also important.
Members of the team are expected to carry out continuous learning and to be adaptable and flexible to changes in compliance regulations, internal procedures, and the business environment.
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What is the working environment like
The team is supportive and has a strong sense of teamwork. Whilst the team collaborates to ensure the department is achieving its goals, there is also a culture of individual accountability in ensuring tasks are completed to a high standard.