Compliance Officer

Job DescriptionCompliance OfficerOverview:We are seeking a motivated and detail-oriented Compliance Officer to join our Compliance team. This role is ideal for someone with experience in regulatory compliance and client onboarding within the financial services industry. The successful candidate will support the implementation and maintenance of effective compliance frameworks and assist with the onboarding of new clients in accordance with applicable regulations and internal policies.Key Responsibilities:Regulatory Compliance:Monitor and support adherence to relevant regulatory obligations (e.g., FCA, DFSA, ESMA, ASIC depending on jurisdiction).Assist in the development and maintenance of compliance policies and procedures.Support the preparation of regulatory filings and internal compliance reports.Conduct reviews and monitoring in line with the firms compliance monitoring program.Assist with internal audits and regulatory inspections as needed.Maintain an up-to-date knowledge of relevant regulatory changes and support their implementation across the business.Client Onboarding:Perform due diligence checks including KYC, AML, PEP, and sanctions screening for new clients.Review onboarding documentation to ensure compliance with regulatory and internal requirements.Liaise with internal stakeholders (Sales, Operations, Legal) to resolve any onboarding issues or information gaps.Maintain accurate and organized records of onboarding activity and client documentation.Assist in ongoing client reviews and remediation efforts.Requirements:Essential:3-7 years of experience in a compliance function, preferably within financial services or investment management.Hands-on experience with client onboarding and regulatory due diligence.Familiarity with AML, KYC, and sanctions screening processes.Working knowledge of key financial regulations (e.g., FCA Handbook, MiFID II, AMLD, FATF guidelines).Excellent attention to detail, organizational and time management skills.Strong written and verbal communication skills.Desirable:Experience working in a multi-jurisdictional financial services environment.Previous exposure to compliance monitoring systems or onboarding platforms.Professional compliance qualification (e.g., ICA Certificate/Diploma or equivalent) or working towards one.

Created: 2025-07-03