At a Glance
- Tasks: Lead compliance framework, oversee AML policies, and provide regulatory advice.
- Company: Dynamic financial firm focused on compliance and risk management.
- Benefits: Competitive salary, professional development, and a supportive work environment.
- Other info: Opportunity for career growth in a fast-paced regulatory environment.
- Why this job: Make a real impact in compliance and help shape a strong risk-aware culture.
- Qualifications: Experience in compliance, AML, and strong communication skills.
The predicted salary is between 60000 - 80000 £ 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 in London employer: Ultima Markets
As an AML and Compliance Officer at our firm, you will be part of a dynamic team that values integrity and compliance in the financial sector. We offer a supportive work culture that prioritises employee development through ongoing training and mentorship, ensuring you have the tools to excel in your role. Located in a vibrant city, our company provides unique networking opportunities and a collaborative environment that fosters innovation and professional growth.
