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Compliance Officer (CF10/10a & 11) – Securities Trading Compliance Experience + Product Knowledge Required

United Kingdom

£80K - £100K + Benefits & Bonus


Our Client, a niche Brokerage firm, are looking to hire a Compliance Officer to take ownership of all Compliance & AML matters on a daily basis. Reporting to the board, duties will include:

  • • Provide guidance and advice on regulatory matters across the business
    • Act as Money Laundering Reporting Officer (MLRO) for the Firm

  • o Responsible for provision and maintenance of Policy guidelines, the company AML framework and Financial Crime Risk Assessment
    o Responsible for evaluation of and submission of Suspicious Activity Reports (SARs) via relevant authorities including FCA, NCA (including NCA consent requests where appropriate) and Action Fraud.
    • Updating, maintaining and enhancing the firm’s compliance monitoring program, policies & procedures and compliance manual as and when necessary.
    • Monitoring of Trade and Transaction reporting.
    • FCA regulatory filings via Gabriel.
    • Keep up to date with regulatory changes.
    • Liaising with regulators, including responding to routine queries, audits and investigations.
    • Responsibility for Client Asset oversight (CASS)
  • The ideal candidate will be holding (or have previously held) the controlled function with the FCA and have proven experience & familiarity with financial markets and products, including Fixed Income, FX, Commodities and Equities.

  • For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on######### or send your details to him at #########

  • Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

  • The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

Posted 10 days ago

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