Compliance Director, Stockbroking


Compliance Director, Stockbroking


This is a fantastic opportunity to join a growing Stockbroking business; working in a Compliance Director position in their offices in central London.

This is a role being offered on a permanent basis, where the firm is looking for someone to work in a business partner-type capacity; someone who can 'roll up their sleeves' and get involved in the business as the sole Compliance person working out of this office.

To be successful in your application - and to be a solid, long-term fit into this role/organisation - it is important that you can demonstrate experience of the following:

* Previous experience in CF10, CF10a & CF11 and the willingness to hold this again
* Understanding of UK and EU regulations within the Investment, Stockbroking and Trading sectors.
* A minimum of 5 years' experience in Compliance within a Compliance department

In return, this role offers a competitive annual salary, additional benefits and you will also be taking on a hands-on, high-profile within this business, which can offer you the chance of expanding your skill set and further your career.

Please quote <45297> when calling Stephen at Alexander Lloyd or email them at This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Compliance & Risk recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance.

Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.