Compliance Officer (CF10)

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  • Salary:

    £50,000 + benefits

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  • Published:

    about 1 year ago

The is a really exciting opportunity to join a brand new organisation who are looking for a Compliance Officer (CF10) to build a function from scratch, as you see fit and to have a real effect on the future success of a company. Whilst this presents a great opportunity to start something from scratch you will have full support from senior management and your peers.

Key responsibilities include:

  • Working closely with the rest of the business to build a product that delivers a great user experience whilst also ensuring we meet regulatory requirements and deliver good outcomes for customers/markets
  • Ensuring risk management processes for trading are robust and occur in a timely manner
  • Liaising with key internal (e.g. legal, risk, board) and external (e.g. FCA, advisors, vendors, partners etc) stakeholders as required
  • Oversight and monitoring of relevant third parties
  • Creating and reviewing the firm’s policies
  • Regulatory horizon scanning
  • Carry out the client on-boarding process, ensuring that all AML and appropriateness checks are made, and recorded, in line with all regulatory requirements, such to ensure that only appropriate clients are able to open a trading account.
  • Producing internal and external monthly reports and liaising with both internal and external stakeholders as appropriate.
  • Drive a positive attitude to a culture of Compliance diligence within the firm.

The Person:

  • Previous experience reporting to and liaising with the FCA
  • Must have recent active experience in regulatory compliance regarding the FCA
  • Experience of conduct risk management within a consultancy, compliance function or a regulator
  • Experience within a stock brokerage and with good operational knowledge of securities trading from pre-trade to post-trade and the associated regulatory requirements

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.