Compliance Officer (FTC)

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.

#Compliance #ComplianceOfficer #AML #AntiMoneyLaundering #FinancialServices #WealthManagement #InvestmentManagement #PrivateBanking #RiskManagement #FCA #RegulatoryCompliance #LondonJobs #FixedTermContract #Hiring #FinanceJobs #ComplianceCareers #InvestmentManagementJobs #CareerOpportunity #NowHiring #LondonCareers

#J-18808-Ljbffr

Full job description from WhatJobs. Apply for this role →