Senior Compliance Officer

  • Job Reference: 13044
  • Date Posted: 31 March 2021
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: £65,000 to £70,000
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email:

Job Description

Senior Compliance Officer – Ref 13044


Reporting directly to the Head of Compliance you will assist with all aspects of compliance with relevant and appropriate regulations


The role

Support the development and management of the compliance manual and policies & procedures

Familiarity with Monitoring plans

Knowledge of SMCR, MiFID, EMIR

Review, create and implement relevant and appropriate policy and procedure

Provide compliance advice

Monitor the regulatory environment, horizon scanning, assist the business with implementation and understanding of such

Compliance training

Financial Promotion signoff

Support and manage compliance risks



5 years relevant experience

Knowledge of FCA regulation, specifically – SYSC, SMCR, COB and CASS

Commercially aware