Compliance Officer                                                                                     c£70k

This is an excellent opportunity to join a leading Financial Institution with a reputation for success and professionalism.   The compliance function is closely integrated with the business and actively involved with all aspects of the firms activities. 

You will play a pivotal role in developing and strengthening the existing compliance function with strong interaction with front office and senior management and provide support to Head of Compliance in conducting compliance oversight. You will be responsible for providing regulatory and exchange advice and guidance to relevant areas of the firm, assist with AML, conducting KYC checks, develop compliance policies and procedures and develop and undertake Compliance monitoring and ensure that any issues are documented and escalated appropriately. You will also undertake key projects from the Compliance plan, maintain and enhance communications with all areas of the business, most importantly the Front Office, Legal and Operations and undertake ad hoc compliance work as needed

Our client is looking for someone with solid Compliance experience in a brokerage, exchange, regulator or investment banking background with strong knowledge of FSA Handbook and MiFID. Detailed understanding of LSE and European Exchange Requirements is also required with in-depth experience of equities monitoring and ability to develop monitoring techniques and good understanding of equities, MTF’s, DMA, crossing networks, trade matching, settlement and clearing. This is an excellent opportunity if you are able to take the initiative, be creative in developing procedures and controls as well as being responsible in applying any requirements as necessary. 

If you have the necessary experience and are interested in this role, please send an email to laura.crawford@ajilon.co.uk , quoting ref LSS 224230 ASAP.