Compliance Officer / AML Monitoring Officer - Permanent


Contract Type:


Recruiter Name:
Darren Winter


Compliance Officer / AML Monitoring Officer
Competitive Salary

Our client is an idea-centric wealth and investment management firm for Professional Investors, covering emerging and developed markets. They are based in London looking for an enthusiastic Compliance Officer / AML Monitoring Officer to join their team on a permanent basis. 

The responsibilities for the successful Compliance Officer / AML Monitoring Officer will include:

  • Offering compliance and Money Laundering training for all staff and management
  • Work as the firm's key point of contact with the PRA and FCA including all approval and breach reporting matters
  • Undertaking ad-hoc projects as required.
  • Liable to the PRA / FCA for the delivery of the firm's regulatory compliance and financial crime obligations by holding the Controlled Functions CF10 Compliance Oversight, CF11 Money Laundering Reporting Officer
  • Progress of an appropriate, risk based, compliance framework
  • Responsible for the firm's compliance with the FCA and PRA rules on systems and controls, CASS Oversight
  • Authorise and approve KYC documentation relating to account opening and payments
  • Providing administrative support to the outsourced internal audit service, arranging management responses and monitoring follow-up and remedial action
  • Maintain and implement the Compliance Monitoring Program to include periodic tests of the effectiveness of firm policies

Essential requirements for the Compliance Officer / AML Monitoring Officer:

  • Experienced as a CF10/CF11/CF10A/CF28
  • Wide executive leadership skills, strategic skills and long-standing senior management experience
  • Sturdy corporate governance skills
  • Good acquaintance of FCA, PRA and any other applicable rules relating to Financial services
  • Knowledge on the Wealth Management/ Securities Trading
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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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