Are you an experienced compliance professional looking for your next opportunity in wealth management?
We're seeking a Compliance Officer to join our team in London on a 12-month fixed-term contract. This is an excellent opportunity to play a key role in supporting our Compliance and Anti-Money Laundering (AML) framework, helping to protect our clients and business through effective monitoring, oversight and regulatory controls.
Working closely with the Compliance Manager & Deputy MLRO, you'll gain exposure to a broad range of compliance activities while partnering with colleagues across the business to promote a strong culture of risk management and regulatory excellence.
Key Responsibilities
- Review compliance monitoring reports and alerts, including AML, trading activity, cash positions and stock holdings
- Investigate Data Loss Prevention (DLP) alerts and liaise with stakeholders where required
- Review complex client onboarding cases and account amendments
- Provide guidance on compliance and AML-related queries
- Support AML processes, regulatory reporting and compliance projects
- Administer the firm's compliance training platform
- Assist with SEDOL set-up requests and Section 793 requests
- Provide broader support across the Compliance function
We're Looking For
- Experience within Wealth Management, Investment Management, Private Banking or Financial Services
- Knowledge of the UK regulatory environment and FCA Handbook
- Understanding of AML regulations and controls
- Strong analytical skills and attention to detail
- Excellent communication and stakeholder management abilities
- Strong organisational and time management skills
- Experience within a private client investment management environment
- Knowledge of LexisNexis Bridger, IDU AML, LiquidMetrix or similar systems
- Investment or financial planning qualifications
- CISI Diploma in Investment Compliance (or working towards)
This is a fantastic opportunity to join a collaborative team and further develop your compliance career within a highly regulated and client-focused environment.
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Compliance Officer (FTC) employer: Raymond James UK
At Raymond James, we pride ourselves on fostering a culture that prioritises people and their financial wellbeing. As a Practice Management Business Partner, you will benefit from ongoing professional development and the opportunity to work closely with talented advisers, making a tangible impact on their success and client outcomes. Our commitment to values such as Client First and Integrity ensures a supportive environment where your coaching and strategic insights can thrive.
