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Compliance executive

  • Location: London, City of London
  • Salary: £30000 - £40000 per annum + Benefits + bonus
  • Job type: Permanent
  • Ref: 786465354
  • Recruiter: Nicholas Georgiou
This vacancy has now expired.

My Client are a Mid sized broker, who are currently going through an intresting strategic change due to this they are looking to grow out their compliance team.

This position will be reporting into the head of compliance and you will be working along side them and other members of the compliance team.

Duties of the role.

You will be assisting with any queries that relate to KYC & AML and you will be Interacting with our onboarding team amungst others to to obtain relevent information.You would be undertaking compliance monitoring in accordance with the business and FCA guidelines. perform EDD especially with regards to PEPs.

There will also be opportunity for you to suggest and inplement new efficiencys regardiing to the onboarding process. The candiate will have to perform due diligence with high risk accounts. These will be some of the duties of the position.

The ideal candidate.
The Ideal candidate will have previous experience in Client onboarding and AML/KYC and due dilligence within a Broker / investment bank or securities firm. Have An understanding of FCA regulations. This candidate will also have experience of compliant handling, client claims etc. The candidate will have experience with financial promotions sign off.

Any experience of Blockchain or cryptocurrencies is adventagious.

A Bachelor's degree in business, finance, accounting or technology related. Law degree is a plus.

If you have the relevent experience please give me a call on 02077479717 or reach out via email:

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