Compliance Officer / Lead

Compliance Professionals; Greater London; Remote; GBP 25,000 - 35,000; Full time

Benefits offered by this job

Remote work

Flexible hours

Job summary

Compliance Professionals is seeking a generalist compliance professional for a London‑based role focused on SMF16 & SMF17. This is a fully remote position offering 25–30 hours per week and requires strong AML, regulatory, and reporting capabilities to support the FCA regime for a UK MiFIDPRU investment firm.

You will act as a point of contact for AML queries, support the MLRO, assist with onboarding, policy updates, board reporting, and development of dashboards.

Qualifications

• Generalist compliance and AML experience ideally within the Retail Brokerage space.
• Comfort with remote working or remote management support.
• Excellent verbal and written communication skills.
• Solid computer literacy with Microsoft Office tools (Word, Excel, Outlook).

Responsibilities

• Act as point of contact for AML and compliance queries.
• Support MLRO and potentially grow into MLRO role.
• Assist with onboarding of clients and non-standard onboarding.
• Assist in policy updates, board reporting and new product work.
• Develop dashboards or reporting packs for compliance/AML.

Skills

Remote work

AML experience

Regulatory knowledge

Communication skills

MS Office

Tools

MS Office Suite

Job description

THE COMPANY:

Our client is a well-established London-based brokerage firm, looking for a generalist to support the SMF16 & 17. This is a fully remote role and will require 25-30 hours per week.

THE RESPONSIBILITIES:

• Responsible for the Firm’s performance of its obligations under the FCA’s regulatory regime for a UK 750k MiFIDPru Investment firm treating Retail, Professional, and Eligible Counterparties.
• Point of contact for AML and compliance queries
• Support the MLRO. (Also possibility either to assume the MLRO position or look to grow into this role in short order depending on experience
• Assistance with non-standard on-boarding of clients (research and document rather than any data entry).
• Preparing for legislative / policy / rule / product changes and reviewing / updating current policies and procedures. To feed into board reporting and compliance development / related new product work.
• Suggest improvements that firm could scope-out and take the lead on researching / proposing and implementing system / product / process upgrades related to Compliance and AML/KYC. This may include developing a Compliance / AML “dashboard” or standard reporting pack.
• Horizon scanning of all proposed changes to the UK financial regulatory regime as applicable to MiFIDPRU firms.
• Internal reporting to the Governing Body.
• Accountable for complaints handling and reporting.
• Oversee the firm’s compliance with evolving AML environment.
• Engagement with exchanges and clearing houses.

EXPERIENCE REQUIRED:

• Demonstrable Generalist Compliance and AML experience ideally within the Retail Brokerage space
• Applicants will need to be comfortable in remote working, or at least remote management support.
• Excellent verbal and written communication skills.
• Sound computer literacy skills e.g. Microsoft Office (Word, Excel etc.) and MS Outlook.

For further information please contact Hannah Tabatabai