Compliance officer Work, Jobs in Elstree, Hrt (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
Compliance Officer / Supplier Liaison Executive
SwiftSwitch —London
- £35,000 - £40,000 a year
- Monday to Friday
- Sales
Quick apply
Kurt Geiger Kindness Foundation Officer
Kurt Geiger —London
- Full-time
- Project management
- Communication skills
- Employee discount
Quick apply
HR Officer, Learning, Development and Succession Planning
TLC Care —Harrow
- Full-time
- Nursing home
- Microsoft Office
- Hotel
Quick apply
Housing Officer
Gateside Homes —Hatfield
- From £30,000 a year
- Full-time
- Bachelor's degree
- Driving
- In-person
- Free parking
- Sick pay
Quick apply
6d
Compliance Officer (Online Gambling Company) Office Based
Geoff Banks Online —Walton-on-Thames
- Up to £30,000 a year
- Full-time
- Sales
- Customer service
- English
- Free parking
Quick apply
11d
Autonomous Vehicle Safety Officer
AV Operations Ltd —Hammersmith
- £40,000 a year
- Full-time
- Driving
- In-person
Quick apply
Paraplanner
Sedulo —London
- £40,000 - £55,000 a year
- Full-time
- Hybrid work
- Microsoft Office
- Analysis skills
- Organisational skills
- Work from home
- Flexible schedule
Quick apply
14d
Global Ethics & Compliance Officer
Bio Products Laboratory Limited —Elstree
- Bachelor's degree
- Travel
- Up to 25% travel
Quick apply
4d
Contract Compliance Officer (0.4 FTE)
Barnet and Southgate College —Barnet
- £12,608.40 - £13,393.20 a year
- Part-time
- Plumbing
- Travel
- Construction
- Annual leave
- Employee discount
7d
Adult Social Care - Compliance Officer
Palm2Palm Ltd —London
- £25,000 - £27,000 a year
- Full-time
- Continuous improvement
- Travel
- IT
- Sick pay
Quick apply
6d
Health and Safety Officer
Tims Dairy Ltd —Gerrards Cross
- From £13.21 an hour
- Full-time
- Computer literacy
- Organisational skills
- In-person
- Bereavement leave
- Referral programme
Quick apply
7d
Chief Operations Officer
Harlow Inspirational Learning Trust —Harlow
- £49,282 - £60,402 a year
- Full-time
- Hybrid work
- Management
- Supervising experience
- Bachelor's degree
- Free parking
- Sick pay
Quick apply
7d
Student Welfare & Support Officer
Results Co —London
- £24,000 - £25,000 a year
- Full-time
- Master's degree
- Bachelor's degree
- In-person
Quick apply
10h
Information Security Officer
BAM UK & Ireland —Hemel Hempstead
- Monday to Friday
- Bachelor's degree
- Travel
- Organisational skills
Compliance & Risk Officer
TRINITY LONDON CONCIERGE LIMITED —London
- £24,420.00 - £60,496.77 a year
- Full-time
- Hybrid work
- Bilingual
- English
- Bachelor's degree
- Free parking
- Flexitime
Quick apply
4d
Access Arrangement Officer
Inspired —London
- Full-time
- Remote
- Microsoft Office
- IT
- School
11d
Placements & Admin Officer
Connect Fostering Services Ltd. —Iver
- £24,420 - £26,000 a year
- Full-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Free parking
- Annual leave
Quick apply
5d
Data Protection Administrator
Medivet Group Ltd —Watford
- £35,000 a year
- Full-time
- Analysis skills
- Organisational skills
- Communication skills
11d
Student recruitment officer / Course Advisor
Regent College London —London
- £30,000 a year
- Full-time
Quick apply
3d

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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

compliance officer jobs in elstree, hrt

Compliance Officer

Compliance Officer / Supplier Liaison Executive

Kurt Geiger Kindness Foundation Officer

HR Officer, Learning, Development and Succession Planning

Housing Officer

Compliance Officer (Online Gambling Company) Office Based

Autonomous Vehicle Safety Officer

Paraplanner

Global Ethics & Compliance Officer

Contract Compliance Officer (0.4 FTE)

Adult Social Care - Compliance Officer

Health and Safety Officer

Chief Operations Officer

Student Welfare & Support Officer

Information Security Officer

Compliance & Risk Officer

Access Arrangement Officer

Placements & Admin Officer

Data Protection Administrator

Student recruitment officer / Course Advisor

I want to receive the latest job alerts for compliance officer in elstree, hrt

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