Direct message the job poster from MW Recruitment Limited
Our client is a leading brokerage firm seeking a Compliance Officer to support regulatory compliance and risk management within its retail broking function.
Key Responsibilities:
* Ensure compliance with FCA regulations, including KYC, AML, FOS, and TCF.
* Assist in implementing and maintaining the firm’s compliance policies and procedures.
* Conduct monitoring and oversight to mitigate regulatory risks.
* Support regulatory reporting and liaise with external regulatory bodies as required.
* Provide guidance to internal teams on compliance matters.
* Report directly to the Compliance Manager and assist in maintaining a robust compliance framework.
Key Requirements:
* Strong understanding of retail broking compliance functions within FCA-regulated environments.
* Technical expertise in CFD products is essential.
* Knowledge of oil swaps, derivatives, and CASS is highly desirable.
* Strong analytical skills with attention to detail.
* Excellent communication and stakeholder management skills.
Seniority level
Associate
Employment type
Full-time
Job function
Other
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