CF10/CF11 Compliance Officer (Stand Alone)

Elliott James Consulting
London, South East England
08 Jul 2017
07 Aug 2017
Contract Type
Full Time


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.)