Senior broker Work, Jobs in Watford, 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
Relationship Manager
Acacium Group —London
- Full-time
- Hybrid work
- Presentation skills
- Leadership
- Communication skills
- Employee assistance 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
Global Benefits Senior Specialist
Boston Consulting Group —London
- Full-time
- Microsoft Excel
- Analysis skills
Senior Investment Broker
SSV Capital PLC —Canary Wharf
- From £18,000 a year
- Full-time
- CRM software
- Sales
- Salesforce
- Referral programme
Quick apply
5d
Architect
Insurity —London
- £73,000 - £116,000 a year
- Bachelor's degree
- No degree
- Travel
- Annual leave
- Referral programme
Quick apply
Senior Corporate Broker
CMC Markets —London
- Full-time
- IT
Senior Treaty Broker (Part-Time / Freelance) – London Market & International Reinsurance
G&T Brokers limited —London
- £65,000 - £75,000 a year
- Full-time
- Hybrid work
- Analysis skills
- Negotiation
- Work from home
- Life insurance
Quick apply
4d
Senior Manager, Policy & Corporate Communications
Funding Circle —London
- Full-time
- Hybrid work
Quick apply
Senior Operations Change Consultant
G MASS —London
- Hybrid work
- Financial services
Quick apply
Senior Broker
Aon Corporation —London
- Hybrid work
- Presentation skills
- IT
- Communication skills
4d
Product Manager
CFC —London
- Full-time
- Hybrid work
- Product management
Quick apply
BCG X Global L&D Strategic Programs Senior Manager
Boston Consulting Group —London
- Full-time
- Project management
- AI
- Communication skills
Bank Business Partner
Acacium Group —London
- £28,000 a year
- Full-time
- Customer service
- Communication skills
- Employee assistance programme
Quick apply
14d
Director, GCS
Climate Lead —London
- £156,000 - £173,000 a year
- Salesforce
- Master's degree
- Bachelor's degree
10d
Solutions Engineer
Ruleguard —London
- £100,000 - £120,000 a year
- Full-time
- AI
- Communication skills
Quick apply
4d
Senior PI Broker
Aon Corporation —London
- Hybrid work
- IT
- Leadership
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
Customer Success Manager
Insurity —London
- £39,000 - £77,000 a year
- Microsoft Powerpoint
- Data analysis skills
- English
- Annual leave
- Referral programme
Quick apply
6d
Senior Trading/Generation Credit Analyst
SmartestEnergy —London
- £52,000 - £62,000 a year
Quick apply
7d

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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 watford, hrt

Compliance Officer

Relationship Manager

Senior Customer Success Manager

Global Benefits Senior Specialist

Senior Investment Broker

Architect

Senior Corporate Broker

Senior Treaty Broker (Part-Time / Freelance) – London Market & International Reinsurance

Senior Manager, Policy & Corporate Communications

Senior Operations Change Consultant

Senior Broker

Product Manager

BCG X Global L&D Strategic Programs Senior Manager

Bank Business Partner

Director, GCS

Solutions Engineer

Senior PI Broker

Financial Lines Major Loss Adjuster (D&O)

Customer Success Manager

Senior Trading/Generation Credit Analyst

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