Compliance Officer and AMLCO Assistant

The role Working with the Regulatory Compliance Officer and AML Compliance Officer, you will help maintain the compliance framework, carry out monitoring, follow up findings, and prepare accurate management information and regulatory submissions.

Key Responsibilities

• Help deliver the Compliance Risk Assessment and Compliance Monitoring Plan, including testing files and controls, documenting results and tracking remedial actions.
• Assist in conducting compliance monitoring and file reviews relating to the Company's investment advice and reception and transmission of orders activities, including the assessment of compliance with applicable MiFID II requirements and internal policies concerning client categorisation, suitability assessments, product governance, costs and charges disclosures, client communications, conflicts of interest, inducements, best execution and order handling arrangements.
• Assist with monitoring regulatory developments and updating policies, procedures, registers and staff guidance under the Compliance Officer's direction.
• Assist in the preparation, reconciliation and timely submission of regulatory reports, returns and notifications to CySEC and other competent authorities.Compile and reconcile information for compliance reports, Board and committee papers, regulatory returns and responses to CySEC, including follow up with business and support teams.
• Support oversight of complaints, breaches, incidents, outsourcing arrangements and regulatory deadlines, maintaining clear records and escalating concerns promptly.
• Help prepare compliance training materials and provide practical guidance to colleagues, with appropriate review by the Compliance Officer.
• Support the AMLCO with customer due diligence, ongoing monitoring, screening, file reviews, record keeping, AML reporting inputs and follow up of identified gaps.
• Escalate unusual activity or potential suspicions to the AMLCO in accordance with internal procedures, and support investigations and documentation as directed.

What We Are Looking For

• A degree in law, finance, business or a related field, or equivalent relevant experience.
• Experience in compliance within a regulated financial services firm, preferably an investment firm or wealth management business.
• Working knowledge of MiFID II and an interest in investment advice, suitability and regulatory reporting.
• CySEC Advanced and AML certifications.
• Strong analytical skills, attention to detail, sound judgement and the ability to organise work around deadlines.
• Self-motivated with the ability to manage workload effectively in a fast-paced, deadline-driven environment.
• Excellent written and spoken English, with a collaborative and discreet approach.