Compliance Officer

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An capital markets broker based in The City of London is looking for a talented Compliance Officer to own their Compliance Monitoring Programme.

The Compliance Officer will be part of a medium sized compliance function who work closely and collaboratively together.

As the Compliance Officer you will be expected to come in and review the existing monitoring programme to assess where their key risk lie. You will then work closely with your compliance peers to remediate and close these issues out. You will continue to implement the Compliance Monitoring Programme moving forward.

As well as Compliance Monitoring you will also be responsible for Compliance Desk Reviews and Thematic Compliance Reviews across the business. These can range from Operations, Front Office to Tech. This is an exceptional opportunity for a Compliance Officer to get exposure to every area of the firm and certainly ensure you are kept challenged and continuously developing your skills/knowledge.

We need a Compliance Officer who is proactive, flexible and able to think outside the box. Equities and Fixed Income trade lifecycle knowledge is preferred. A Compliance Officer with existing or prior experience carrying out Compliance Reviews for SYSC and COBS is important to have for this position.

This is an extremely exciting Compliance Officer role for someone that may be constricted by their current compliance role. You will be given the autonomy and responsibility to get things done.

This Compliance Officer role in paying circa £100,000 P/A + benefits and bonus.

If you are interested in this Compliance Officer opportunity and would like to apply or you would like further information, please submit your CV/profile to be reviewed. Alternatively, call Pritesh Chudasama for a confidential conversation on 0207 469 5022.

Sthree UK is acting as an Employment Agency in relation to this vacancy.