CF10/CF11 Compliance Officer (Stand Alone)

Recruiter
Elliott James Consulting
Location
London, South East England
Salary
60000.0000
Posted
08 Jul 2017
Closes
07 Aug 2017
Contract Type
Permanent
Hours
Full Time

Company

Leading London based institutional distressed credit broker/dealer. The main business areas are: Fixed Income, Emerging Markets, Equities and Equity Derivatives.

Department Overview

As a Compliance Officer for the Company and reporting directly to the board, you will have overall responsibility for the Compliance function in the UK/EU, including the day-to-day compliance advisory role to the business.

Qualifications & Experience

  • Ideally already CF10 & CF11 Certified, however they will consider an experienced officer, ambitious and capable of holding these positions
  • Must be used to, or happy to work in a stand alone role
  • 5 years+ compliance experience in financial services in a Brokerage environment
  • Experience working directly in/on a trade floor - (this role will be based in a busy trade floor)
  • Relevant qualification(s) in areas such as accounting, risk or compliance.
  • Extensive and up to date knowledge of UK and EU regulatory legislation and compliance requirements.
  • Exposure to and appreciation for compliance issues in a broking company.
  • Project management experience, demonstrable expertise in implementing compliance monitoring programmes (CMP).
  • Familiarity with compliance monitoring systems including pre-and post trade monitoring.

Key Skills & Competencies

  • The role is in a fast-paced environment and as such requires a self-starter who can work autonomously and is comfortable working with senior management and directors. The role requires the following competencies:
  • Providing a client focused service.
  • Communicating with influence and strong interpersonal skills.
  • Working with others to achieve goals.
  • Delivering goals in a fast changing environment.
  • Taking a creative and innovative approach to work.
  • High level of organisational skills with commensurate attention to detail.
  • Demonstrable analytical and monitoring skills.
  • Be self-motivated with a proactive nature.
  • Ability to work independently and being the first point of contact for all compliance matters.

The Compliance Officer’s main duties will be as follows;

  • KYC, AML, Account Opening & Client Classification
  • Monitoring
  • Monthly Management Meeting
  • FCA Requirements
  • Policies and Procedures
  • Regulatory Updates
  • Advisory
  • Financial Promotions
  • Training
  • Liaison and Communication (all staff, traders and directors.)