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Compliance Monitoring Officer


£25000 - £30000 per annum

Compliance Monitoring Officer


We are currently working on an exclusive role for a small firm of stockbrokers providing stockbroking services to private and corporate clients. Their head office and private client broking business is based in Sussex and its corporate broking business is based at its newly opened London City office.

An opportunity has arisen for a confident and enthusiastic individual to embark on the next stage of their compliance career. This role will also suit someone who is no longer wanting the commute into the City of London.

Reporting to the Compliance Manager, the successful candidate will undertake principally the following:

* Monitoring and reporting on transactions effected for retail and professional clients and where applicable, making recommendations for remedial action;
* High risk, vulnerable and discretionary client transaction monitoring;
* Maintaining and monitoring the Register of Personal Account transactions;
* Maintaining and monitoring the Registers of individuals made inside or holding inside information;
* Monitoring transactions in new issues;
* Managing the on-boarding process for corporate and private clients;
* Assisting with KYC reviews;
* Provision and development of management information on treating customers fairly;
* Keeping up to date with regulatory developments.

Ideally, the candidate will have at least 1 years compliance experience working in a regulated environment, preferably stockbroking.

This role is perfect for someone who is looking to work in a smaller team within Compliance that is looking to accelerate their career and join a well established business that has a great reputation within private client broking and a high staff retention rate. it is also perfect for people that are looking to reduce their daily commute into the City

Please quote 40911 when calling Alexander Lloyd on 01293 572900 and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services 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. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. 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.

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