Compliance Officer

Join Glenbrook Advisory - Explore α Better Future

Glenbrook Advisory is a international boutique, wealth management firm. With our 10 major business lines, spanning Brokerage, Wealth Management, Property, Payment & Exchange, FinTech, Financial Education, financial Health Care, Consulting, Cloud, and Tax planning, GBA has seamlessly provided clients with comprehensive products and services across the world. Through a one-stop approach, GBA remains committed to helping our clients achieve an ideal financial life while moving towards a better future together

Looking for a New Challenge? Join Us as We continue to Expand Globally

As we continue our global business expansion, we’re on the lookout for talented individuals who are motivated to support our strategic goals and initiatives. Join a team that values innovation and growth.

Do you have what it takes?

What you’ll be working on:
We are looking for a Compliance Officer/MLRO that will ensure the company’s operations comply with all relevant financial and Anti-Money Laundering (AML) regulations in the UK. The role includes reporting to the Head of Department on compliance issues, identifying regulatory risks, and overseeing AML/CTF measures.

Regulatory Compliance:

- Ensure adherence to all financial and AML regulations.
- Advise the Head of Department on potential compliance and regulatory issues, especially significant changes.
- Identify, create awareness, and plan responses to regulatory, compliance, and risk management issues, including those related to the Money Laundering Reporting Officer (MLRO) role.
- Ensure adherence to corporate regulatory and legal obligations.

AML/CTF Oversight:

- Oversee the day-to-day implementation of local AML and Counter-Terrorism Financing (CTF) requirements, providing advice and guidance as needed.
- Monitor and interpret AML-related legal and regulatory developments, reporting to the Head of Department accordingly.
- Review and evaluate suspicious transactions and submit subsequent reports.
- Ensure accurate and complete records of all files and documents related to Financial Intelligence Units (FIU) and Suspicious Activity Reports (SARs).
- Promptly report suspicious transactions and activities, including SARs, in accordance with federal AML legislation.

Compliance Monitoring:

- Draft and implement an annual compliance plan that addresses key objectives for mitigating compliance risks.
- Prepare monthly compliance reports for the Head of Department.

Communication and Documentation:
Oversee communications with customers and review marketing materials to ensure compliance.

What we’re looking for:

- Bachelor’s degree in Finance, Economics, Business Administration, or a related field.
- Extensive experience in capital markets with licensed entities, with at least 5 years of relevant experience.
- Must have passed CISI (SCA) exams: UK Rules and Regulations and Combating Financial Crime.
- Excellent time management and organizational skills.
- Strong team player, willing to contribute actively within the business.
- Excellent communication and presentation skills.
- Strong business acumen with problem-solving skills.
- Ability to work well under pressure in a fast-paced environment

What we offer/What's in it for you:
Seeking to expand your regional work experience? Work alongside industry-leading professionals from around the globe in an environment filled with opportunities for continuous learning and growth.

We value your wellbeing - You'll find it here along with our comprehensive medical, dental, optical, and wellness benefits.

We reward our best employees with quarterly employee recognition awards in USD.

Feeling drowsy after lunch? Take advantage of our smart pantry access and weekly tea break/lucky draw.

Life at GBA

At GBA, we embrace a culture where continuous growth, collaboration, and creativity are at the heart of everything we do, you'll collaborate with top professionals from around the globe, dive into exciting projects, and play a pivotal role in shaping the future of finance.

Pay: £100,000.00-£150,000.00 per year

Additional pay:

- Bonus scheme
- Performance bonus
- Yearly bonus

**Education**:

- Bachelor's (preferred)

Reference ID: Glenbrook Advisory