Compliance Officer

Financial services firm seeks a Compliance Officer to support

the Operations, Technology, Finance, Services & related  functions of a private client environment.    

• Provide day-to-day advisory service to Operations, Technology, Finance, Services  on the firm’s policies and regulations that apply to these functions.


• Help develop and deliver training as part of ongoing Compliance training program tailored to suit the individual requirements of our various businesses.


• Review certain regulatory changes and ensure the business is able to support them.


• Develop policies & procedures.


• Work alongside Operations & Technology Risk teams to identify and mitigate any compliance risk inherent in those areas.


• Provide support to the team on various project initiatives.

Experience/Skills

• Degree level


• At least 5 years experience working in a Compliance and/or Operations function.


• Pro-active, self-motivated, assertive and well organized.


• Ability to work independently, but still is a strong team player.


• Forward looking, focused on streamlining processes and increasing efficiency.


• Great attention to details.


• Strong control focus.


• Flexibility and ability to multi-task.


• Hands on, proactive approach to problem solving.


• Knowledge of the key rules and regulations governing Operations is preferred.


• Ability to resolve conflict and deal with confrontation.


• Interest in the operational aspects of financial markets and a willingness to learn.

To apply please submit your resume to Jack Kelly:  Jkelly at ComplianceSearch.com