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Chief Compliance Officer

  • Job type: Permanent
  • Location: London
  • Salary: £180000 - £200000 per annum
  • Job reference: Chief Officer
  • Sector: Banking and Finance, Selby Jennings, Compliance
  • Date posted: 20/02/2018
Chief Compliance Officer

An incredible opportunity to Head the Compliance function of a brokerage firm in the City of London.

The role is based with an international brokerage firm who are looking for a talented compliance professional to lead a large team in this rapidly growing company. The main objective of the role is to ensure that the brokerage is compliant with rules and regulations of various agencies and that the company policies and procedures are being followed throughout the business.

Key responsibilities:
  • Assist the Surveillance and the AML Senior Associates in gathering information and prepare responses to inquiries from the FCA or other EEA regulatory bodies.
  • Develop polices, training programmes and materials to educate employees on compliance matters
  • Develop and implement the compliance monitoring programme. 
  • Manage the reporting framework. 
  • Independently investigate and act on matters related to compliance, including the flexibility to design and coordinate internal investigations. 
  • Work with the general counsel and other functions to build a governance and control framework 
  • Assist AML Senior Associate with queries relating to KYC processes
  • Experience in a Compliance leadership role within an FCA regulated firm
  • CF10/11 experience 
  • Excellent written and verbal communication skills 
  • A good working knowledge of POCA, JMLSG, Fourth Money Laundering Directive and the key FCA principles for businesses and/or financial services sector (brokerage, bank or securities industry).  
  • Knowledge of KYC processes 
  • Strong analytical skills 
  • Must have the ability to work under pressure 

If you are interested in this opportunity please send your CV to
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