Senior Compliance Generalist

£75,000 - 90,000

The Client

A multi-jurisdictional brokerage house headquartered in London. Offering broker services to Institutional and UHNW Clients globally. My Client markets both vanilla equity and fixed income product as well as the more esoteric instruments including Structured and Derivative products.

A very collegiate and open atmosphere that is both meritocratic and entrepreneurial this business is growing judiciously in multiple locations.

The Role

- Reporting to the COO

- Ensure adherence to the FCA Regulatory requirements

- Production of MLRO reports

- Preparing and presenting latest regulatory developments to C-Level Executives

- Ensuring adherence to internal and external compliance requirements

- Implement a training program for employees and monitoring of activities

- Review AML / KYC Procedures

- Authorisation of new account openings

Key Skills and Attributes

- Significant experience of working in Compliance within Financial Services

- Strong understanding of UK Regulatory environment

- Strong Microsoft Office Suite

- Very strong written and verbal communication skills

- Comfortable dealing with individuals across levels of seniority both internally and externally

- Pro-Active approach is a pre-requisite

- Understanding of commercial pressures within a regulatory environment

- Able to work autonomously

Desirable Skills

- A professional compliance qualification

- Fluent French

- Degree educated