Senior broker Work, Jobs in Ditton, Sry (with Salaries)

Compliance Officer
CBCX Group Limited —London
- £70,000 - £120,000 a year
- Full-time
- Analysis skills
- Bachelor's degree
- Organisational skills
Quick apply
Accounts Assistant
CBCX GROUP LTD —London
- Full-time
- Microsoft Excel
- Administrative experience
- Analysis skills
Quick apply
Global Benefits Senior Specialist
Boston Consulting Group —London
- Full-time
- Microsoft Excel
- Analysis skills
Relationship Manager
Acacium Group —London
- Full-time
- Hybrid work
- Presentation skills
- Leadership
- Communication skills
- Employee assistance programme
Quick apply
Trainee Mortgage Adviser / Paraplanner
Loans Warehouse —Watford
- £23,500 - £25,000 a year
- Overtime
- Microsoft Word
- CRM software
- Microsoft Excel
- Free parking
- Life insurance
Quick apply
12d
Architect
Insurity —London
- £73,000 - £116,000 a year
- Bachelor's degree
- No degree
- Travel
- Annual leave
- Referral programme
Quick apply
Senior Customer Success Manager
Insurity —London
- £48,000 - £88,000 a year
- Hybrid work
- Microsoft Powerpoint
- Microsoft Excel
- Data analysis skills
- Annual leave
- Referral programme
Quick apply
Senior Investment Broker
SSV Capital PLC —Canary Wharf
- From £18,000 a year
- Full-time
- CRM software
- Sales
- Salesforce
- Referral programme
Quick apply
2d
Senior Manager, Policy & Corporate Communications
Funding Circle —London
- Full-time
- Hybrid work
Quick apply
Senior Corporate Broker
CMC Markets —London
- Full-time
- IT
12d
Product Manager
CFC —London
- Full-time
- Hybrid work
- Product management
Quick apply
Senior Broker
Aon Corporation —London
- Hybrid work
- Presentation skills
- IT
- Communication skills
1d
Senior Operations Change Consultant
G MASS —London
- Hybrid work
- Financial services
Quick apply
Financial Lines Major Loss Adjuster (D&O)
AIG Europe S.A. (U.K. Branch) & American International Group UK Ltd —London
- Administrative experience
- Communication skills
- Negotiation
Quick apply
11d
BCG X Global L&D Strategic Programs Senior Manager
Boston Consulting Group —London
- Full-time
- Project management
- AI
- Communication skills
Senior Human Resource Generalist
Sagility —Kingston upon Thames
- Supervising experience
- Bachelor's degree
- Human resources
- Life insurance
Senior PI Broker
Aon Corporation —London
- Hybrid work
- IT
- Leadership
Psychological Therapies Team Manager
Acacium Group —London
- £40,000 - £45,905 a year
- Full-time
- Remote
- Supervising experience
- Employee assistance programme
Quick apply
Bank Business Partner
Acacium Group —London
- £28,000 a year
- Full-time
- Customer service
- Communication skills
- Employee assistance programme
Quick apply
11d
Senior Broker Support Technician
Ardonagh Specialty —London
- Full-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Annual leave
Quick apply

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Compliance Officer

CBCX Group Limited
London

Quick apply

Job details

Full-time
£70,000 - £120,000 a year

Qualifications

Law
Analysis skills
Bachelor's degree
Organisational skills
Financial services
Business
Communication skills

Full job description

Job Summary
We are seeking an experienced Compliance Officer to support the firm’s compliance and regulatory obligations, with a primary focus on compliance with the requirements of the Financial Conduct Authority (“FCA”).

The successful candidate will assist in the implementation and maintenance of the compliance framework, provide day-to-day regulatory compliance support to the business, and contribute to ensuring the firm operates in accordance with applicable regulatory requirements and internal policies.

Candidates with experience in any international regulatory environments, will be viewed favourably.

Key Responsibilities:

Regulatory Compliance:

Support the maintenance and enhancement of the firm’s compliance framework in accordance with FCA regulatory requirements.
Provide day-to-day compliance advice to business and operational teams.
Assist in ensuring compliance with relevant FCA Handbook requirements, including: SYSC, COBS, PRIN, SMCR, AML and financial crime obligations
Monitor regulatory developments and assist in implementing regulatory changes where required.
Maintain compliance policies, procedures, registers, and internal controls.

Compliance Monitoring:

Monitor the execution of the Compliance Monitoring Programme (“CMP”).
Conduct compliance reviews, testing, and monitoring activities.
Identify compliance gaps and support remediation actions.
Prepare compliance monitoring reports and management information for senior management and governance committees.
Maintain records relating to breaches, incidents, complaints, conflicts of interest, and regulatory matters.

Financial Crime & AML:

Support the firm’s AML, sanctions, anti-bribery and corruption, and financial crime compliance obligations.
Conduct compliance reviews relating to onboarding, KYC, and customer due diligence processes.
Assist with periodic reviews and ongoing monitoring activities.

Regulatory Reporting & Governance：

Support regulatory filings and reporting obligations where applicable.
Assist with responses to regulatory requests, audits, and internal reviews.
Participate in governance and compliance committee processes.
Deliver compliance training and awareness sessions to staff where required.

International Compliance Exposure：

Support compliance matters involving overseas entities and cross-border activities where applicable.
Coordinate with internal stakeholders and external advisers across multiple jurisdictions.

Qualifications & Experience

Essential

Bachelor’s degree in Law, Finance, Business, Risk, or related discipline.
Relevant compliance experience within an FCA-regulated financial services environment.
Good understanding of FCA regulatory expectations and compliance frameworks.
Experience in compliance monitoring, advisory, or regulatory support functions.
Knowledge of AML and financial crime regulatory requirements.
Strong analytical, organisational, and communication skills.
Ability to manage multiple priorities and work independently.

Preferred

Experience within international financial services businesses or group structures.
Relevant professional qualifications, such as: ICA，CISI，ACAMS，Exposure to SMCR governance frameworks.

Personal Attributes

Strong attention to detail
Professional and ethical approach
Good stakeholder management skills
Practical and solution-oriented mindset
Ability to work collaboratively across teams and jurisdictions

Preferred Industry Background

Experience in one or more of the following sectors would be advantageous:

CFDs broker
Securities / broker-dealer
International financial services

Job Type: Full-time

Pay: £70,000.00-£120,000.00 per year

Application question(s):

How many years of experience in CFD industry

Licence/Certification:

Barrister or solicitor qualification (preferred)

Work Location: In person

Quick apply

Refine Your Search

senior broker jobs in ditton, sry

Compliance Officer

Accounts Assistant

Global Benefits Senior Specialist

Relationship Manager

Trainee Mortgage Adviser / Paraplanner

Architect

Senior Customer Success Manager

Senior Investment Broker

Senior Manager, Policy & Corporate Communications

Senior Corporate Broker

Product Manager

Senior Broker

Senior Operations Change Consultant

Financial Lines Major Loss Adjuster (D&O)

BCG X Global L&D Strategic Programs Senior Manager

Senior Human Resource Generalist

Senior PI Broker

Psychological Therapies Team Manager

Bank Business Partner

Senior Broker Support Technician

I want to receive the latest job alerts for senior broker in ditton, sry

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