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Compliance Officer

London, United Kingdom
Closing date
Oct 6, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The responsibilities associated with this role are expected to include but not limited to:
  • Provide compliance advisory services to management, business and functional units in relation to UK and EU regulatory regimes
  • Construct, review and maintain compliance policies, procedures and processes to ensure that the systems and controls framework is adequate and up-to-date
  • Conduct compliance reviews, perform compliance monitoring and surveillance to ensure that policies, procedures and practices are being followed and adhered to
  • Monitor business activities and put in place specific measures as necessary
  • Monitor UK and EU regulatory developments relevant and applicable to the firm and provide impact analysis, work on projects to implement any changes that may be required
  • Ensure that the AML systems and controls meet regulatory requirements and are complied with
  • Ensure that the firm complies with the capital requirements under CRD/CRR and IFPR
  • Handle conflicts of interest analysis and management
  • Work on compliance operations such as gifts and entertainment registration, personal account dealing and outside business interests approval, handle KYC and client due diligence etc. that may be required
  • Prepare internal reports and management information, assist on filing regulatory reports
  • Assist on developing and delivering staff training

  • Minimum 5 years of relevant UK/EU compliance experience in an investment bank or securities firm
  • Experience in relation to securities brokerage and corporate finance preferred
  • Experience and good understanding of CRD/CRR and IFPR implementation preferred
  • Familiar with relevant EU and UK regulatory rules applicable to FCA regulated activities

Skills and Abilities
  • A self-starter with keen initiative and excellent interpersonal skills
  • A professional with high integrity
  • Able to work with a minimum level of supervision
  • Strong analytical and evaluative skills, attentive to details
  • Good communication skill and a good team player
  • Chinese language abilities are desirable
  • Good understanding of EU/UK regulatory issues and developments
  • General broad understanding of financial products, brokerage and investment banking services

  • University degree in law, economics and accounting/finance disciplines
  • Qualified lawyer or law degree holder desirable but not essential

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