compliance officer Work, Jobs in richmond tw10 (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
11d
Income Maximisation Officer
Richmond and Wandsworth Councils —Twickenham
- £38,976 - £47,229 a year
- Full-time
- Hybrid work
- Communication skills
- Annual leave
2d
Compliance Officer / Supplier Liaison Executive
SwiftSwitch —London
- £35,000 - £40,000 a year
- Monday to Friday
- Sales
Quick apply
Junior Compliance Officer
Lloyd's List Intelligence —London
- Hybrid work
- AI
- Communication skills
2d
Setting the Standard Compliance Officer
Ealing Council —Ealing
- £40,182 - £42,060 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- English
Governance Risk and Compliance Officer
City of Westminster Council —Westminster
- £42,912 - £57,495 a year
- No degree
- Communication skills
11d
Chief Compliance Officer - Talbot
Talbot Underwriting Services Ltd (TS1) —London
Quick apply
6d
Compliance Officer
Halo Corporate Finance Limited —Horsham
- £31,000 - £35,000 a year
- Full-time
- Organisational skills
- IT
- Financial services
- Free parking
Quick apply
11d
Autonomous Vehicle Safety Officer
AV Operations Ltd —Hammersmith
- £40,000 a year
- Full-time
- Driving
- In-person
Quick apply
12d
Compliance Officer
Haringey Council —London
- £40,182 - £42,060 a year
- CRM software
- Microsoft Office
- Administrative experience
3d
Safety & Compliance Officer
JMC Aviation —London
- £350 a day
- Monday to Friday
- Computer literacy
- Maintenance
- English
10d
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
3d
Parking Contract Officer
The Royal Borough of Kingston upon Thames —Kingston upon Thames
- £38,256 - £46,968 a year
- Full-time
- Hybrid work
- Contracts
- Annual leave
- Employee discount
9d
Operations Officer
Chapman Freeborn —Gatwick Airport
- Organisational skills
- Communication skills
2d
Client Compliance Officer
Apex Group —St. Helier
- Full-time
- Communication skills
- Time management
Chief Information Officer
Infovista —Guildford
- Presentation skills
10d
Business Support & Compliance Officer
Capita —West Drayton
- Up to £40,000 a year
- Full-time
- Administrative experience
- Travel
- Organisational skills
- Employee discount
4d
Compliance Officer
Watson Farley & Williams —London
- Organisational skills
- IT
Clerk to Governors and Compliance Officer
John Whitgift Foundation —Croydon
- Full-time
- School
3d
Compliance Officer (Monitoring)
CMC Markets —London
- Full-time
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel
10d

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Compliance Officer

CBCX Group Limited
London

Quick apply

Job details

Full-time
£70,000 - £120,000 a year
11 days ago

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

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