Assistant Compliance Officer - SME Broker

Market Talent Ltd
City of London, London
16 Jun 2017
16 Jul 2017
Contract Type
Full Time

A prestigious SME CFD / Spread Betting Broker, based in the City are actively seeking an Assistant Compliance Officer. The successful candidate will work very closely with the Compliance Officer and represent the brand during their absence.

The candidate will have previous experience within the financial services industry as an Assistant Compliance Officer (or equivalent). Being very team orientated and self starter with demonstrate the quality level my client is seeking. If the candidate has worked within a leveraged focused business this will be very advantageous.


The role will see you overseeing key projects within the department, that include but are not limited to:

  • Compliance Monitoring Programme.
  • Senior Managers Regime - work with HR to implement the Senior Managers Regime due to be implemented in 2018.
  • Money Laundering Directive 4 - implement changes to remain compliant with the new regulation.
  • GDPR - data protection.
  • Implement and monitor new policies and procedures.

In addition, assist Compliance department on an ad hoc basis, including:

  • AML /Client on-boarding
  • Compliance support
  • Business contingency/disaster recovery
  • Systems security
  • To deputise/represent the Compliance Department when the Compliance officer is unavailable


  • Effective communicator; articulate, confident and able to relate to and create trust with ease.
  • Planning and organisational skills with a high attention to detail.
  • Achievements and results drive; the desire to get things done well and the ability to set and meet challenging goals, create own measures of excellence and constantly seeking ways of improving performance.
  • Resilient; delivers a consistently high-level level of performance irrespective of whether, on a given working day, you are on or off site, have travelled to an event and / or are working remotely from other colleagues.
  • Ambassador of the brand; promoting the Company internally and externally.