Compliance Officer (FTC)

Raymond James UK; Greater London; On-site; GBP 52,000 - 70,000; Full time

Job summary

Raymond James UK in London is seeking a Compliance Officer on a 12-month fixed-term contract to reinforce our AML and regulatory controls within wealth management. You will work with the Compliance Manager & Deputy MLRO to monitor activity, review onboarding cases, and provide guidance on compliance queries.

Ideal candidates have knowledge of the UK FCA handbook, AML regulations, and experience in private client investment management, with strong analytical and stakeholder management skills.

Qualifications

• Experience in Wealth Management, Investment Management, Private Banking or Financial Services.
• Knowledge of UK regulatory environment and FCA Handbook.
• Understanding of AML regulations and controls.
• Strong analytical and attention to detail.
• Excellent communication and stakeholder management.
• Organisational and time management skills.
• Experience in private client investment management.
• Knowledge of LexisNexis Bridger, IDU AML, LiquidMetrix or similar systems.
• Investment or financial planning qualifications.
• CISI Diploma in Investment Compliance (or working towards).

Responsibilities

• Review monitoring reports and alerts including AML, trading activity, cash positions and stock holdings.
• Investigate DLP alerts and liaise with stakeholders.
• Review complex client onboarding cases and account amendments.
• Provide guidance on compliance and AML queries.
• Support AML processes, regulatory reporting and 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.

Skills

Wealth Management

FCA Handbook knowledge

AML controls

Analytical skills

Stakeholder management

Time management

Private client invest

Education

CISI Diploma in Investment Compliance (or working towards)

Tools

LexisNexis Bridger

IDU AML

LiquidMetrix

Job description

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.

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