Compliance Generalist
Our client is a small Exchange based Trading and Broking organisation but part of a large global corporation. They are looking for a Compliance Generalist who has experience working in a small firm, exposed to a range of compliance functions. It is a very hands on, high quality small team.
Details
Date: 7 Nov 2025
Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £42,000 - 45,000 per annum
Email: duncan@taylorjamesresourcing.com
Ref: DB071125
Key Responsibilities
- Issuing letters to customers and business partners (e.g. finalising, printing out and posting).
- Work relating to anti-money laundering and financial crime controls including customer onboarding, CDD/KYC checks, completing customer risk assessments and customer risk data collection.
- Conduct and financial crime risk monitoring, including voice and written communications monitoring and monitoring of incoming and outgoing payments.
- Assisting with trade surveillance e.g. by checking and collecting information relating to alerts.
- Carrying out due diligence on third party outsourced service providers.
- Performing the department’s tasks relating to systems and controls e.g. checking new bank account details and completing account amendment forms and other system amendments.
- Reviewing existing compliance policies and procedures and draft amendments to new procedures, where required.
- Completing tasks required under the SMCR such as preparing and issuing the necessary documents for staff certification.
- Providing staff training on compliance matters.
- Completing and submitting returns and reports to the FCA and other authorities.
- Maintaining and updating databases.
- Preparing management information and reports to internal stakeholders.
Additional Tasks
- Ad hoc research on FCA rules and laws and regulations affecting the firm.
- Carrying out various other administrative tasks to assist the smooth operation of the department, such as enabling/terminating access to various trading systems etc.
Qualifications & Preferences
- Previous experience (ca. 2-4 years) of working within a compliance/legal department is preferred. Financial services (Regulated environment) experience would be advantageous.
- Passion for compliance and regulatory work and eager to learn from others and independently.
- Ability to demonstrate entrepreneurialism, initiative and common sense, with a very strong attention to detail and good writing skills.
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