Compliance Officer - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Compliance Officer
Up to £55,000 + benefits

Our client, a brokerage based in central London seek for their new compliance officer to join their team on a permanent basis. If you have experience across Commodities and Derivatives then I would like to talk with you. 

Responsibilities of the Compliance Officer will include but not limited to:

  • Screen customers and connected entities using online screening tools and update any possible matches on a daily basis (sanctions, PEPs).
  • Conduct training and education programs to keep staff apprised of new rules and regulations, policies and processes and regulatory events on an as-needed basis.
  • Review, analyse and implement into procedures and business practices applicable rules and regulations affecting the company. 
  • Communicate with regulators and exchanges to comply with rules of the regulatory regimes and responding to regulatory investigations.
  • On-board customers in line with the firm’s Customer Due Diligence (CDD) necessities.
  • Certain administrative tasks such as administration of access to various systems.

Have you got the essential requirements?

  • Minimum of a 2:1 university degree attained (or the alike in another country).  
  • Work involvement at a regulated financial services organisation or an exchange.
  • Strong understanding of key laws, rules and regulations affecting the industry.
  • Previous familiarity of carrying out compliance monitoring and surveillance (both manual and automated) 
  • Solid understanding of financial crime and its prevention and detection, AML/CTF and sanctions requirements. 
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Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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