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Compliance officer CF10 CF11

  • Location: London, City of London
  • Salary: £55000 - £75000 per annum + Benefits + Bonus
  • Job type: Permanent
  • Ref: NGU1011
  • Recruiter: Nicholas Georgiou

My client is a investment and securities trading firm based in London. They are looking for number two in compliance to step up and be the CF10/11 for the firm.

This position will be somebody that has an all round experience within compliance both conduct and financial crime and some of the duties will include:

  • Being accountable to the PRA / FCA for the delivery of the firm's regulatory compliance
  • Maintaining and executing the compliance monitoring programme
  • Providing timely, accurate, and relevant regulatory advice to the business

The ideal candidate:

  • 3-5 years compliance experience
  • Currently middle management or a number two in compliance looking to step up to hold CF10/11
  • Compliance experience within a small broking, securities or wealth management firm
  • Ability to liaise with stakeholders at all levels

If you would like to know more around this role please get in touch via Nicholas.Georgiou@markssattin.com or 02077479717 .

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