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EXCLUSIVE: Deputy Compliance Officer – Compliance Experience From Any Financial Services Sector Required

£45K – £50K + Benefits + Bonus  | City
Ref: 3386J

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

 
 
Our client, an award winning securities trading firm, is seeking an energetic and ambitious Compliance officer to join their growing team. This position will report to the Compliance Officer and the successful applicant will be tasked with providing support across all areas of compliance as well as acting as the deputy.  Duties will include:
 
• Deputise and represent the Compliance Department when the Compliance Officer is unavailable
• Supporting with Regulatory, Compliance and Financial Crime matters including AML, Fraud, Anti-Bribery & Corruption and Market Abuse
• Assist in Compliance Due Diligence and monitoring of Third Parties, including AML
• Create, implement and monitor new policies and procedures, including the 4th Money Laundering Directive & GDPR
• Reviewing and updating policies and procedures, financial promotions and the company website
• Assist and prepare Compliance and AML training within the firm
 
You should have several years UK COBS Compliance experience with an understanding of AML from any fully regulated sector. Great opportunity to break into a mainstream City broking firm (full cross training provided) and gain management experience. 
 
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 darren@compliancerecruitment.com
 

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