Senior Compliance Officer (City of London)

Senior Compliance Officer – Central Compliance

Location: London

A global brokerage firm, currently in a growth phase, is hiring an experienced Compliance Officer to sit in the central compliance function. The incoming officer will gain exposure to senior management and manage the training and compliance policy framework of the firm.

Key Responsibilities:

• Amend & oversee the compliance policy framework,
• Manage, enhance & deliver training to the advisory team & wider firm,
• Develop the conflict of interest & personal account dealing framework,
• Maintain department registers & schedules.

Ideal Background:

• 5-8 years of experience in a regulated firm, ideally at a trading or brokerage firm,
• Exposure to SMCR, MiFID & MAR,
• Experience designing training, and compliance policies & procedures,
• A track record of managing conflicts of interest processes,
• Strong communication & stakeholder management skills.

An added benefit would be if any applicants have completed certifications awarded by the ICA & CISI.