At a Glance
- Tasks: Lead compliance and AML efforts, ensuring adherence to regulations and internal controls.
- 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 landscape.
- Why this job: Make a real difference in financial crime prevention and compliance culture.
- Qualifications: Experience in compliance, AML, and strong analytical skills required.
The predicted salary is between 50000 - 65000 £ per year.
Key Responsibilities
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
- Financial Crime & AML (SMF17 – MLRO)
- Act as the firm’s appointed MLRO and nominated officer
- Oversee AML/CTF policies in line with UK regulations (MLR 2017)
- Review and escalate 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 (So R)
- 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
- Authority & Independence
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)
- Financial crime framework (SMF17)
- Effectiveness of internal controls and governance
- Escalation of material risks to senior management and regulators
AML and Compliance Officer in Slough 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.
StudySmarter Expert Advice🤫
We think this is how you could land AML and Compliance Officer in Slough
✨Tap into Campus Networks
If you're still in uni, don’t forget to engage with your campus's career services and attend finance-related events. Banks often do presentations and recruitment drives on campus, so put yourself out there and make use of these opportunities to show off your passion for the field.
✨Get Certified
Consider pursuing relevant certifications like the CFA or ACCA while you’re job hunting. They not only beef up your CV but also connect you with professional bodies which can lead to networking opportunities and even job openings in banking and financial services.
✨Connect on Professional Platforms
Join finance-focused groups on platforms like LinkedIn and engage in discussions. This can really help you stand out from the crowd, allowing potential employers to see your knowledge and interest in industry trends. Plus, you might stumble upon job postings shared exclusively within the group.
✨Apply Directly and Be Proactive
Don’t shy away from reaching out directly to firms like Ultima Markets. Use their websites and apply through them, but also consider following up with a polite email to express your enthusiasm. Being proactive can make a huge difference in getting noticed in the competitive financial services sector.
We think you need these skills to ace AML and Compliance Officer in Slough
Some tips for your application 🫡
Show Off Your Numbers!:In the banking and financial services world, quantifiable achievements are key. Make sure your CV highlights your grades in relevant subjects, any financial certifications you hold, and specific projects where you've delivered measurable results. Employers love to see how your skills translate into real-world success.
Tailor Your Cover Letter to the Role:When applying for a full-time position, your cover letter should make a direct connection between your experience and the job description. Don't just state your enthusiasm for finance—dive into how your background in banking or financial analysis sets you apart. Let your passion shine through while being specific about what you can bring to Ultima Markets.
Include Relevant Financial Software Experience:If you've worked with financial modelling tools or software like Excel, SAP, or specific analytical tools during your studies or internships, bring that up! Highlighting your proficiency can really make your application pop and show you're ready to hit the ground running in a full-time role.
Research and Reflect:Before hitting that 'apply' button on Ultima Markets's website, do a little digging. Look up their recent projects, values, and culture. Reflecting their ethos in your application can make a huge difference and show you’re genuinely interested in being part of the team!
How to prepare for a job interview at Ultima Markets
✨Brush Up on Financial Analysis Skills
Make sure you're well-versed in financial concepts and analytical techniques relevant to banking and financial services. Get comfortable with tools like Excel for modelling or financial forecasting, as technical questions in this area are common during interviews with Ultima Markets.
✨Prepare for Case Studies
Expect to tackle case studies that demonstrate your problem-solving skills in real-world banking scenarios. Familiarise yourself with the types of problems you might face—think risk assessments or investment evaluations—and be ready to articulate your thought process clearly.
✨Show Your Passion for Finance
Since this is a full-time position, employers at Ultima Markets will be keen to see your genuine interest in finance. Be prepared to discuss recent industry trends or news articles that excite you, showcasing your enthusiasm and engagement with the field.
✨Network with Industry Professionals
Before your interview, reach out to current or former Ultima Markets employees on platforms like LinkedIn. They'll offer unique insights into the company's culture and the interview process, which can give us a delightful edge in showcasing a good fit for the team.
