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