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Senior Compliance Role

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: Role Comp Broker
  • Sector: Banking and Finance, Selby Jennings, Compliance
  • Date posted: 21/03/2018
Senior Compliance specialist for Leading Fund

The role offers an excellent opportunity for senior candidates to get a huge amount of exposure within a compliance group, as well as gain excellent career progression in a rapidly expanding team.

The role will report directly into the CCO and CRO, allowing for excellent senior management facing as well as the opportunity to liaise with key stakeholders. The roles responsibilities will also include facing off with key counterparts of the group, with a focus on broker dealers.

Due to the seniority of the position successful candidates will be required to have a broad knowledge of the compliance space, as they will be required to cover large areas of the group. However the main focus areas of the role will be high yield and fixed income, so any experience within these areas would certainly aid any potential candidates.

Ideal candidates will have....
  • 4-10yrs experience within a compliance group within the financial sector.
  • Experience in working within a broker-dealer
  • Series 7 & 24
  • Full knowledge of rules and regulations that apply to broker-dealers
    • Working knowledge/experience with AML, OFAC, FinCen, SARS
    • Strong personality
    • Excellent communication skills

If this is of interest please send your profile in to

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