Compliance Officer

Compliance Officer - London

Our client is an FCA licenced investment firm, currently seeking to recruit a Compliance Officer for their London office.

Required Qualifications:

• Law Graduate, LL.B with minimum of 2:1;
• LL.M. and/or LPC will be considered as an advantage;
• Registered with the FCA in controlled CF10/CF11 function and have experience working in an FCA regulated environment for at least 2 years;
• Proficiency in the application of guidance and regulation contained within the FCA COBS;
• Working knowledge of financial market products;
• Strong drafting of legal documents, compliance reports and internal procedures;
• Proactive and organised person with ability to manage cases independently and efficiently;
• Excellent knowledge of the English language;
• IT literate – proficiency with Microsoft Office (i.e. Excel, Word, Outlook, Power Point).

Job Description:

• Assist with any queries relating to KYC processes to ensure adherence to internal procedures and industry best practice;  
• Monitor current and upcoming regulatory changes and comply with the FCA requirements;
• Gather information and prepare responses to enquiries from the FCA;
• Perform customer due diligence and AML reviews;
• Assist with transaction reporting and any other relevant reporting requirements;
• Reporting and analysing results and looking for ways of improvement;
• Work with Senior Management and compliance team from another offices to develop regulatory risk assessments, document controls and monitoring plans.

If you have the relevant experience/qualifications required and would be interested in this superb opportunity, please apply ASAP...

*PLEASE NOTE – by applying to this position, you agree for your CV to be submitted to our client, who shall contact you directly, should your application make their short-list*