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Compliance Officer and MLRO 

adzuna-uk  |  United Kingdom  |  

United KingdomStable Yard, London, SW1A 1BB
Work Type:
Work Time:
Full Time


Established, Indian-backed company with an extending vision, is looking to recruit an experienced Compliance Officer / MLRO for its London (City-based) UK entity, trading complex products e.g., Forex, CFDs etc.

The firm is authorised and regulated by the FCA since November 2014.

As Compliance Officer / MLRO of the firm, you will be responsible for (including but not limited to): Regulatory oversight of the UK entity (“CF10”); Function as the UK entity’s Money Laundering Reporting Officer (“CF11”); Continuous liaison with Executive Management; Staff Training (using online modules); Compliance staff recruitment when required.

The Firm’s UK entity will suit a motivated, enthusiastic individual with the ambition and desire to assist in the Firm’s growth and thus move the firm forward to the next level and beyond.

The incumbent will be expected to take on the FCA Controlled Functions of CF10 (Compliance Oversight) and CF11 (Money Laundering Oversight), therefore previous experience in these roles, combined with knowledge of complex products (e.g., forex / CFDs), is a requirement of the position.

KEY REQUIREMENTS Knowledge and experience of complex products (Forex / CFDs etc.); The gravitas to discharge these duties at a senior level including interaction with senior management and the FCA if required; The ability and gravitas to challenge Executive Management when required; Excellent Compliance, AML and Corporate Governance exposure / knowledge; and The ability to aid in the growth of the Firm.

OPTIONAL Further information available upon request.