Senior Compliance Officer

Senior Compliance Officer

£90,000 - £95,000

City of London

The Company

A Boutique Financial Services firm based in the heart of the City my client serves customers in the UK and further afield across multiple asset classes. Offering a very strong proposition across multiple asset classes it serves both individual and institutional clients. A meritocratic and collegiate environment with an energetic and pro-active culture.

The Role

- Reporting to the Chief Regulatory Officer my client is searching for someone to offer support at a senior level

- Day to day Compliance oversight escalating issues where necessary

- Mitigation of regulatory risk

- Deputise for the Chief Regulatory Officer in their absence

- Regular review of regulatory developments and keeping the business advised of said developments

- Presentation to senior stakeholders and written reports of regulatory developments

- Monitoring of Front Office staff

- Periodic reviews of the business

The successful candidate will have:

- Strong regulatory knowledge

- A pro-active approach to problem solving

- Strong Microsoft Office Suite Skills

- Excellent written and verbal communication skills

- Confident dealing with individuals across levels of seniority

- Significant experience of working in Compliance within Financial Services

- Comfortable dealing across multiple jurisdictions

- Able to work as part of a team and independently