Junior Compliance Officer

New Vacancy for Junior Compliance Officer

Junior Compliance Officer
Reporting to
Compliance Officer
St Swithins Lane, London, EC4N 8AD
Liaison with
CEO and Pello Capital Employees
Who are Pello Capital?

We are a City of London based Stockbroking firm and are looking for a dynamic and ambitious Junior Compliance Officer. The role will be to support the Compliance Officer and Company’s Management in their efforts to ensure the company complies with all applicable legislation, guidelines issued by Financial Regulators and group policies and procedures. Excellent career development opportunity with support and training.

Why does Pello Capital need you?
  • To research and interpret all relevant legislative/regulatory developments and internal group policies under the guidance of the Compliance Officer.
  • To ensure management and staff are aware of the company’s compliance obligations.
  • To assist the Compliance Officer and Directors through their responsibilities for ensuring an adequate system of risk controls.
  • Implementation and maintenance of a risked based compliance monitoring programme to ensure the business is complying with global and local policies and procedures as well as relevant legal, regulatory and generally accepted business standards.
  • Assist the Compliance Officer in responding to all complaints the firm may receive.
  • To facilitate, develop and/or deliver compliance training for all staff.
  • Review and approve marketing and financial promotion materials along with managing the relevant process including but not limited to external advertising, social media and publicly facing documents.
  • Analyse compliance analytics data and identify trends, create reports & enhance oversight function.
What we’d like from you?
  • Broad understanding of regulatory guidelines.
  • Excellent communication and interpersonal skills.
  • Ability to interpret information and form analytical responses.
  • Accuracy and attention to detail.
  • Ability to Project manage independently.
  • Understanding of fintech and ability to adapt to new systems & process.
Personal Specification
  • Educated to degree level.
  • Possess regulatory papers of a Recognised Compliance qualification. (e.g. CISI Level 4).
  • 3 to 5 years compliance experience within the Stockbroking, Corporate Finance, Financial Services Sector or regulated financial service product environment and familiarity of client money and asset reconciliations.
  • Working understanding of general and specific regulatory requirements relating to Trading and Investment Schemes and Intermediary sectors.
What you can expect from us?
  • Competitive compensation package. Salary ranging from £32,000-£37,000 dependant on experience with an additional discretionary bonus based on KPI’s.
  • A laptop or chromebook (if required to perform core job functions).
  • Discretionary share option scheme.
  • 23 days annual leave.
  • Private healthcare.
  • Subsidised gym membership.
  • Death & critical illness cover.
  • Financial contribution to job relevant training, CPD & learning.
  • A cooked lunch & refreshments last Friday of each month.
  • Love2Shop staff gift card with monetary rewards for project completions, employee of the month & work anniversaries.
  • Tea, coffee & fresh fruit delivered throughout the week.

If your skill set matches the above role, please submit your up to date CV below.

Please upload your CV here and we will be in touch.

Pello Capital Limited offers investments and services to clients, which are primarily considered to be high risk investments. Some investments such as contracts for difference use leverage which can magnify gains but equally can magnify losses. Leveraged products may lose investors more than the amount they initially invested. This website is provided for information purposes only. It is not an offer to sell, or a solicitation of an offer to buy, any security, nor enter into any agreement or contract with Pello Capital Limited. All information provided is indicative and subject to market conditions and availability. Not all financial products are suitable for all investors. Before entering into any transaction you should ensure that you understand and have made an independent assessment of the suitability and appropriateness of the transaction into which you are entering and the nature and extent of your exposure to risk of loss in light of your own objectives, financial and operational resources and other relevant circumstances. You should take such independent investigations and such professional advice as you consider necessary or appropriate for such purpose. Past performance is no indicator of future success.

Pello Capital Limited, company number 5267797. Pello Capital Limited is authorised and regulated by the Financial Conduct Authority (FCA) with Financial Services register number 449720 and is a member of the London Stock Exchange (LSE) and Nex Exchange.