Compliance Officer

City of London Permanent £65,000 - £75,000 per year
  • Great stakeholder engagement.
  • Hands on role.

About Our Client

A highly regarded trading platform based in their City of London office.

Job Description

The key responsibilities of the Compliance Officer are:

· Conducting risk-based monitoring reviews as part of the Compliance Monitoring Programme ('CMP'), both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies;

· Helping to update the CMP following any changes to the business or market behaviour;

· Use of automated surveillance and assessment of surveillance alerts from the trading venues;

· Performing AML/KYC reviews periodically per all clients, vendors and associated persons;

· Assisting with regulatory reporting to comply with the conditions of authorisation under the local national competent authority and applicable corporate laws

The Successful Applicant

The successful Compliance Officer will have:

· 5 years or more experience of working in UK/EU financial services compliance preferably in regulated electronic trading platforms, market infrastructure, surveillance/monitoring, or post-trade process such as regulatory reporting;

· Experience of handling tests from a compliance monitoring programme and AML framework, and managing updates.

What's on Offer


Hybrid working

Free lunch

City of London location

Lucy O'Donnell
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Phone number

Job summary

Job function
Banking & Financial Services
Compliance & Legal
Financial Services
City of London
Contract type
Consultant name
Lucy O'Donnell
Consultant phone
Job reference