Compliance Officer needed at Stockbroker recruitment

This vacancy offers the successful candidate the opportunity to develop their compliance career within a large department involving a high number of experienced compliance professionals. As a Compliance officer your responsibilities will include the following:

Main Responsibilities:

-         Review and update policies and procedures

-         AML Monitoring

-         Assist in Broker and Branch compliance reviews on and off site

-         Produce management reports for departmental purposes

-         Client account set-up approval

-         Ad hoc projects such as investigations on products and their potential risks

The successful candidate will have:

-         2+ Years working experience within a Compliance department at a IFA or Retail Stockbroker

-         Knowledge of FSA regulations, particularly COBS and TCF

-         Financial services qualification with the emphasis on compliance (IMC, IAQ, CISI etc)

-         Knowledge of AML procedures and processes

-         Good working knowledge of financial products: equities, fixed income, collectives and structured products would be very desirable

-         Educated to degree standard or equivalent

Location: City of London

If you would like to apply for this role, please send your CV and contact details to Michael Richards for consideration and next steps forward.