Compliance Officer CF10/CF11

Elliott James Consulting Limited
£60,000 - £100,000 + bonus
15 Mar 2017
14 Apr 2017
Contract Type
Full Time
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. 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. QUALIFICATIONS & EXPERIENCE - MUST HAVE WORKED ON A TRADE FLOOR FOR MINIMUM 3 YEARS. - Ideally already CF10 & CF11 Certified, however they will consider an experienced officer, ambitious and capable of holding these positions. - 5 years+ compliance experience in financial services - 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. 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 - Other duties - Liaison and Communication