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Compliance Officer - Agency Exclusive

Full Time
Greater London
08-09-2020 11:17 AM

I am recruiting on an exclusive basis for the following position


Compliance Officer (Not immediately an SMR designated position)

The Company


The company is based in contemporary offices in Central London

It is an international brokerage, trading a diverse product range on behalf of a professional client base

It is a small/medium sized office but is growing quickly, and is has a robust business modeI

It can offer a truly collaborative and collegiate atmosphere and can boast an exceptional compliance culture


The Role 


This position will be de facto number two to the current SM16/17 – and it is anticipated that the role will transition to SM17 in Q 4 of 2021

This will be very much a “hands-on” position, assuming responsibility for all aspects to the day to running of the compliance programme (to include monitoring, advisory , policy and procedure , liaison with the business , and Gabriel and Connect reporting)

It will NOT have responsibility for transaction reporting or customer service.

Additionally it will provide a high-level overview of the anti-financial crime function, supported by colleagues on a day-to-day basis




Candidates will have a thorough knowledge of the UK compliance and anti-financial crime regulatory landscape - likely to have been gained from a broker, and able to navigate a broad product range

Candidates are likely to be self-starters who enjoy working with colleagues across the business


Expectations And What’s On Offer 


It’s anticipated that this role will be based from the firm’s spacious and comfortable offices – you will be fully supported in your role by the
current SM16/17 in all aspects of the position

This role represents a rare opportunity to assume a senior role within a highly successful and developing company. Additionally there is no career

“glass-ceiling” as the long-term plan will be for the incumbent to assume full responsibility for the compliance and anti-financial crime function

Fergus Hooley


07425 325267