Senior compliance officer Work, Jobs in Wembley Ha9 (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/ MLRO
Waran’s Fine Art —London
- £80,000 - £120,000 a year
- Part-time
- Financial services
- In-person
Quick apply
2d
HR Officer, Learning, Development and Succession Planning
TLC Care —Harrow
- Full-time
- Nursing home
- Microsoft Office
- Hotel
Quick apply
Senior Compliance Officer
Teya —London
- Full-time
- SQL
- Analysis skills
- Bachelor's degree
Senior Compliance Officer
Beazley Management Limited —London
- Organisational skills
- Communication skills
13d
Global Ethics & Compliance Officer
Bio Products Laboratory Limited —Elstree
- Bachelor's degree
- Travel
- Up to 25% travel
Quick apply
8d
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
10d
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
8d
Senior Director, Head of International Network Compliance (EMEA)
Capital One UK —London
- Full-time
- Hybrid work
- In-person
- Leadership
- Communication skills
1d
Data Governance Manager
Cover-More —Uxbridge
- £90,000 a year
- Full-time
- Continuous improvement
- Communication skills
- Employee assistance programme
Quick apply
14d
Senior Compliance Officer, Trade Surveillance
Deutsche Bank —London
- Full-time
- Hybrid work
- Analysis skills
- Communication skills
- Employee discount
Senior Data Protection Compliance Specialist
marshmallow —London
- Full-time
- Financial services
- AI
- Communication skills
9d
Senior Compliance Assurance & Investigations Officer (VN2806)
Marex —London
- Full-time
- Microsoft Excel
- IT
- Financial services
Quick apply
9d
Senior Admissions Officer
Regent College London —London
- Full-time
- Hybrid work
- CRM software
- Microsoft Office
- Continuous improvement
Quick apply
13d
Governance Officer
Goldsmiths University —London
- £39,297 - £42,473 a year
- Full-time
- University
- School
- Annual leave
4h
Data Protection Officer (Part Time)
Monese —London
- Part-time
- Hybrid work
- Agile
Quick apply
8d
Senior Compliance Specialist – Governance & Reporting
SWIFT Financial Messaging Services —London
- Full-time
- English
- Communication skills
Senior Complaints Officer
Civic Recruitment Limited —Tower Hamlets
- Full-time
- Microsoft Office
- Communication skills
Quick apply
6d
Compliance Officer
Carnall Farrar —London
- Full-time
- Hybrid work
- English
- Bachelor's degree
- Leadership
- Health & wellbeing programme
- Annual leave
Quick apply
9d
Data Protection Officer - Fractional (1-2 days per week)
Intent HQ —London
- Hybrid work
- Travel
- AI
- Communication skills
- Employee assistance programme
Quick apply

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senior compliance officer jobs near wembley ha9

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

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senior compliance officer jobs in wembley ha9

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