Compliance Officer

Robert Half Limited
London (Greater)
08 Mar 2018
14 Mar 2018
Contract Type
Full Time
Compliance Officer. £40k - £45K

My Client, a market leading institutional broker are looking for a Compliance Officer to join their team. The successful Compliance Officer will have a minimum of two years experience in industry and have a strong understanding of AML and KYC procedures in a similar firm. If you are looking for an opportunity to develop your career as a Compliance officer in an extremely well regarded top tier firm then we want to hear from you.


* Primary responsibilities are to assist the MLRO and the DMLRO in the oversight and management of the Anti- Money Laundering (AML) and Financial Crime Prevention (FCP) requirements of the department and the

* Ensure due diligence is performed on all new /existing clients, maintaining appropriate records and assisting with related queries
* To undertake an AML risk assessment on all new clients
* Categorising new clients as per MiFID requirements
* Preparation of new clients forms
* Conducting ongoing due diligence checks for existing clients
* Monitoring transactions undertaken by clients' accounts deemed to be higher risk
* Screening of new/existing clients for adverse news and against sanctions lists
* Reporting any suspicions of Money Laundering/ Terrorist Financing to the MLRO / DMLRO
* Identify AML/FCP training needs of staff and assist with the training
* To assist with the updating and maintenance of AML /FCP Policies and procedures as necessary
* To assist Corporate Finance and Corporate Broking with the checks on director's questionnaires and director's declarations for clients where the firm is either the Nomad (AIM) or acts as Sponsor (LSE).
* To perform and manage other assignments, from time to time in accordance with requests from the line manager


* 2 years AML/KYC experience covering client take on (preferably within an investment bank or stock broker) and a knowledge of current Financial Crime Regulation and market practice on client due diligence
* Excellent written skills
* Excellent inter-personal skills to communicate clearly and effectively at all levels both across the department and wider business (both internally and externally)
* Ability to build effective relationships between individuals, teams, lines of business and geographical/cultural boundaries
* First class organisational skills, good attention to detail and accuracy are essential
* Ability to work well under pressure and meet tight deadlines
* Advanced knowledge of Microsoft Word & Excel

Salary & Benefits

£40K - £45K + A First Class Package

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://[URL removed]
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