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  • Compliance officer

  • Location: London, City of London
  • Salary: £55000 - £75000 per annum + Benefits
  • Job type: Permanent
  • Ref: 9986523
  • Recruiter: Nicholas Georgiou

My client is a Securities Trading firm based in London. They are looking for a middle management/second in command in compliance to step up and be the CF10/11 for the firm.

It is quite a generalist position 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

Please get in touch for further details on - 02077479717 .


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