Compliance Officer.

As a Compliance Officer., the work centres on overseeing the Compliance programme for Personal Account Dealing across EMEA. It would suit someone who can bring strong professional approach to the role.

Where ownership sits

Provide support in maintaining the Conflict/Risk Assessment. Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections.

What the role carries

Overseeing the Compliance programme for Personal Account Dealing across EMEA. Delivering in person and video Compliance training (both induction and annual) to EMEA employees, covering Compliance programme requirements. Assisting with account onboarding and initial certifications, trade pre-approvals, monitoring, surveillance and reconciliation.

What helps the work land well

Strong professional approach.

What the role depends on

• Bachelor’s degree and 7+ years of experience working in Compliance or equivalent risk oversight role.
• Ability to coordinate, lead and inspire team members across multiple offices, jurisdictions, and time zones.
• Effective time-management and organisational skills.

Practical details

• Additional detail: Training or development support may be provided.

Requirements mentioned

• Excel

Job details

• Benefits mentioned: Training