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Exclusive: Compliance Officer & MLRO – Sell side experience required

£85K-£100K + Bonus & Benefits | City of London
Ref: 3504J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

Our Client, a leading securities trading firm, is looking to recruit a Compliance Officer & MLRO to oversee all areas of Compliance & Anti Money Laundering.  Reporting to the CEO and managing a small team, duties will include;
• Full oversight and autonomous management of the Compliance & AML functions
• Advising the senior management team and more broadly the business on their existing and ongoing compliance obligations
• Overseeing the AML & KYC policies & procedures and acting as Money Laundering Reporting Officer (MLRO);
• Work with the business to develop compliance procedures & controls and provide commercially-orientated compliance advice
• Development, management and execution of the compliance monitoring programme
The ideal candidate will have previous compliance experience from a similar mid size sell side firm, currently registered as a CF10/11 or looking to take this on for the first time. 
NB No specific product knowledge or previous staff management experience required.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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