At a Glance
- Tasks: Lead compliance efforts and ensure adherence to FCA regulations while managing AML policies.
- Company: Join a dynamic firm focused on regulatory excellence and compliance culture.
- Benefits: Competitive salary, professional development opportunities, and a supportive work environment.
- Other info: Gain access to senior management and influence key compliance decisions.
- Why this job: Make a real impact in financial compliance and help shape a risk-aware culture.
- Qualifications: Experience in compliance, AML, and strong communication skills are essential.
The predicted salary is between 55000 - 65000 £ per year.
The below outlines the core responsibilities of the role. Additional duties may be required on a reasonable basis, in line with business needs and regulatory expectations.
- Compliance Oversight (SMF16)
- Lead and maintain the firm’s compliance framework and internal controls
- Ensure ongoing compliance with FCA rules (e.g. SYSC, COBS, SUP)
- Provide clear, practical regulatory advice to senior management
- Monitor regulatory developments and support implementation
- Act as the primary contact for the FCA and regulatory bodies
- Act as the firm’s appointed MLRO and nominated officer
- Oversee AML/CTF policies in line with UK regulations (MLR 2017)
- Review and elevate suspicious activity reports (SARs)
- Oversee client onboarding (KYC, CDD, EDD) and ongoing monitoring
- Manage sanctions, PEP screening, and financial crime controls
- Governance & SMCR
- Maintain the Statement of Responsibilities (SoR)
- Support implementation of SMCR across the business
- Oversee Certification Regime and Fitness & Propriety processes
- Ensure clear governance and allocation of responsibilities
- Monitoring, Assurance & Reporting
- Deliver and maintain the Compliance Monitoring Programme (CMP)
- Identify regulatory risks and control gaps
- Provide regular reporting to senior management and the Board
- Manage FCA submissions, regulatory returns, and queries
- Advisory & Culture
- Provide day‑to‑day compliance advice to the business
- Review policies, procedures, and marketing materials
- Deliver compliance and AML training
- Promote a strong compliance and risk‑aware culture
The role holder will have sufficient seniority, authority, and independence to effectively discharge their responsibilities, including full access to all relevant information, systems, and personnel across the business.
Key Accountabilities
- The successful candidate will be accountable for:
- Compliance oversight (SMF16)
- Effectiveness of internal controls and governance
- Escalation of material risks to senior management and regulators
AML and Compliance Officer employer: Ultima Markets
As an AML and Compliance Officer at our firm, you will thrive in a dynamic work environment that prioritises compliance excellence and regulatory integrity. We offer a supportive culture that encourages professional growth through continuous training and development opportunities, ensuring you stay ahead in the ever-evolving regulatory landscape. Located in a vibrant city, our firm provides a collaborative atmosphere where your contributions are valued, and you can make a meaningful impact on our compliance framework and corporate governance.
StudySmarter Expert Advice🤫
We think this is how you could land AML and Compliance Officer
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Ultima Markets looking for candidates who are engaged and informed.
We think you need these skills to ace AML and Compliance Officer
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Ultima Markets. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Ultima Markets
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Ultima Markets’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
