CF10/CF11 Compliance Officer (Stand Alone)
Leading London based institutional distressed credit broker/dealer. The main business areas are: Fixed Income, Emerging Markets, Equities and Equity Derivatives.
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
- Monthly Management Meeting
- FCA Requirements
- Policies and Procedures
- Regulatory Updates
- Financial Promotions
- Liaison and Communication (all staff, traders and directors.)