Compliance Officer

THE COMPANY:

Our client is a regulated brokerage business, seeking a Compliance Officer to join the team.

THE RESPONSIBILITIES:

• Support the implementation and ongoing monitoring of the firm’s regulatory compliance framework
• Provide day-to-day compliance support to brokerage and front-office activities
• Review and advise on structured products from a compliance and regulatory perspective
• Assist with AML / CFT, anti-bribery and corruption, and conflicts of interest controls
• Monitor compliance with FCA rules, including SMCR
• Support MiFID II obligations (policies, controls, monitoring)
• Draft, review and maintain compliance policies and procedures
• Identify, escalate and help remediate regulatory or conduct risks

EXPERIENCE REQUIRED:

• Around 5 years’ experience in a compliance role within a brokerage firm or investment bank in a regulatory generalist role ( and not a KYC/AML function)
• Ideally from a brokerage or similar environment
• Good working knowledge of multiple asset classes
• Solid knowledge of: FCA regulatory framework, including SMCR, MiFID II, AML / CFT, ABC, conflicts
• Detail-oriented, pragmatic, and comfortable working autonomously

For further information please contact Natalie Eshelby