Compliance, Financial Crime and Risk

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Compliance Officer (VP) Central Compliance & Financial Crime

Salary: £110,000 - £130,000 - London

Currently looking for an experienced Compliance Officer to assist in advising my client in its delivery of business oversight and support with a specific focus on Financial Crime and Regulatory change. VP Level.


Tasks and Responsibilities:

  • Leading identification & tracking of regulatory change and advising on impacts to the business.
  • Financial Crime Policy development & maintenance (including Country & Client risk classification)
  • Support the delivery of Financial Crime risk assessment across all European locations (UK, Spain & Switzerland)
  • Provision of oversight & advice oversight to client on-boarding process
  • Provide control & monitoring oversight of key Compliance areas including Financial Crime
  • Management of High risk client & country approvals
  • Delivery of core Compliance tasks as allocated from the Compliance Risk Management Framework
  • Member of SMCR implementation project
  • Responsible for delivery of Compliance Training Programme
  • Support the drafting of the annual AML & Conflict of Interests reports
  • Ad-Hoc Compliance projects as they arise



  1. Knowledge of UK Broker Dealer business activity (Including Sales Trading & Investment Banking) and the regulatory framework applicable to those business activities.
  2. Conversant in FCA expectations in regard to Compliance structure & oversight, Finacial Crime (AML, Sanctions), MAR/MADII & Conflicts of Interest
  3. Must have strong organisational skills, attention to detail and be capable of delivering quality work products to agreed timescales.
  4. Good report writing skills and an ability to effectively summarise complex matters.
  5. Ability to work closely with the business and being responsible to your internal and external clients.
  6. Analysis of situations and exercising good judgment in structuring and organising work, setting priorities, escalating risks & issues and being flexible to respond to changing demands.
  7. Being an effective communicator in all aspects of your role.
  8. Self-motivated and self-aware with an apparent commitment to ongoing personal development.


Reporting LINE TO:

  • Head of European Compliance


Looking ideally minimum 4 years Compliance Experience. 

If this role is something you're interested in please apply or email me directly: 


For more information contact Liam Vitoria

Recruitment Consultant
Phone: 01732 746 668
Email Liam

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