Compliance officer Work, Jobs in Wheathampstead, 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
Secretariat Officer
Medivents —Letchworth
- £35,000 - £50,000 a year
- Full-time
- Hybrid work
- Microsoft Office
- Administrative experience
- Organisational skills
Quick apply
3d
Information Security Officer
BAM UK & Ireland —Hemel Hempstead
- Monday to Friday
- Bachelor's degree
- Travel
- Organisational skills
Safety & Compliance Officer
JMC Aviation —Stansted Airport
- £350 a day
- Monday to Friday
- Computer literacy
- Maintenance
- English
Compliance Officer/ MLRO
Waran’s Fine Art —London
- £80,000 - £120,000 a year
- Part-time
- Financial services
- In-person
Quick apply
1d
Housing Officer
Gateside Homes —Hatfield
- From £30,000 a year
- Full-time
- Bachelor's degree
- Driving
- In-person
- Free parking
- Sick pay
Quick apply
8d
Exams Administration & Compliance Officer
The E-Assessment Management Company (TEAMCo) —London
- £26,500 - £31,500 a year
- Full-time
- Hybrid work
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
- Work from home
Quick apply
1d
Complaints & Information Officer
Hackney Borough Council —Hackney
- £49,155 - £51,228 a year
- Full-time
1d
Access Arrangement Officer
Inspired —London
- Full-time
- Remote
- Microsoft Office
- IT
- School
13d
Compliance Officer
CMP —Royston
- £26,250 - £28,250 a year
- Part-time
- Administrative experience
- Bachelor's degree
- SharePoint
- Free parking
- Sick pay
Quick apply
AML Compliance Officer
Evotym —London
- Remote
- English
- Communication 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
7d
Compliance Officer / Supplier Liaison Executive
SwiftSwitch —London
- £35,000 - £40,000 a year
- Monday to Friday
- Sales
Quick apply
Learner Experience Coordinator
Hertfordshire County Council —Stevenage
- £38,220 - £41,771 a year
- Hybrid work
- Customer service
- English
- Organisational skills
1d
Corporate Health and Safety Officer
St Albans City & District Council —St Albans
- £46,871 - £50,998 a year
- Full-time
- Hybrid work
- English
- Analysis skills
- Continuous improvement
- Annual leave
HR Services Compliance Officer
University College London —London
- £36,433 - £41,833 a year
- Full-time
- Administrative experience
- University
- Human resources
- Annual leave
- Employee assistance programme
8d
UKVI Compliance & Administrative Review Officer
Regent College London —London
- £42,000 - £50,000 a year
- Full-time
- Microsoft Word
- CRM software
- Microsoft Excel
Quick apply
8d
Privacy Compliance Coordinator
Costco Wholesale —Watford
- £40,000 a year
- Full-time
- Business
- Communication skills
- Employee assistance programme
- Life insurance
1d
Global Ethics & Compliance Officer
Bio Products Laboratory Limited —Elstree
- Bachelor's degree
- Travel
- Up to 25% travel
Quick apply
7d
Business Support & Compliance Officer
Capita —West Drayton
- Up to £40,000 a year
- Full-time
- Administrative experience
- Travel
- Organisational skills
- Employee discount
14d

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compliance officer jobs near wheathampstead, hrt

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 wheathampstead, hrt

Compliance Officer

Secretariat Officer

Information Security Officer

Safety & Compliance Officer

Compliance Officer/ MLRO

Housing Officer

Exams Administration & Compliance Officer

Complaints & Information Officer

Access Arrangement Officer

Compliance Officer

AML Compliance Officer

Compliance & Risk Officer

Compliance Officer / Supplier Liaison Executive

Learner Experience Coordinator

Corporate Health and Safety Officer

HR Services Compliance Officer

UKVI Compliance & Administrative Review Officer

Privacy Compliance Coordinator

Global Ethics & Compliance Officer

Business Support & Compliance Officer

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