Compliance Officer - 6 Month contract Compliance Officer - 6 Month contract …

Olivetree Financial Ltd
in London, United Kingdom
Permanent, Full time
Last application, 20 Apr 21
Competitive + Bonus
Olivetree Financial Ltd
in London, United Kingdom
Permanent, Full time
Last application, 20 Apr 21
Competitive + Bonus
Posted by:
Tom Massey • Recruiter
Posted by:
Tom Massey
Olivetree is an independent investment bank, established in 2009, with offices in London and New York. Olivetree Financial is our equities focused brokerage, with a blue chip institutional global client base, recognised as a market leader in event driven situations. Olivetree Financial is regulated by the FCA in the UK, and a member of FINRA in the US.

Olivetree was founded on key guiding principles which direct our behavior, our decision making, and our interaction with each other and our stakeholders.  At the core of those principles is a collaborative, kind, and forward looking organisation where ‘we’ matters more than ‘me’.  Our intention as an organisation is to inspire our clients with ideas and insights that help them to achieve their objectives. We have ambition to grow and diversify our offerings and are looking for like-minded, ambitions individuals to join our team.


The Role

In support of our continued growth, an opportunity has arisen to work for Olivetree Financial Limited (OTFL), based in London.  OTF is seeking to appoint an experienced Compliance Officer for the UK business. The role will report to the COO of OTFL.  Work week is anticipated to be Tues, Wed, Thursdays in the office with Mon and Friday as optional office days (WFH days).


The Tasks

You will be a subject matter expert and/or resource on compliance matters, helping to ensure the organisation employs best practice policies and procedures to support on-going growth. The role involves focusing on an internal compliance review with specific deliverables over the next 6-9 months. The role will operate on a 3 month rolling contract and at the end of the project, a full time role as CCO with full SMF16/17 responsibilities will be considered.

As Compliance Officer;

  • Interpretation, implementation & management of policy, ensuring that compliance procedures and controls remain current and reflect industry best practices
  • Compliance monitoring programme & audit activities to identify, document and assess compliance risks associated with the firms’ activities
  • Transaction monitoring & surveillance
  • Detailed understanding of FCA/MiFID regulations
  • KYC/AML/client on-boarding experience
  • Identify areas of potential compliance risk and develop/implement action plans
  • Review internal processes to ensure financial crime continues to be managed effectively
  • Review procedures, systems and controls to implement change as necessary, to ensure best practice for compliance oversite and anti-money laundering

 About You

The successful candidate will be a strong cultural fit for Olivetree. The candidate will be of the highest quality, combining a strong practical understanding and detailed experience of core compliance controls and oversight requirements with a commercial/pragmatic approach.

Attributes / Skills

  • Experience and detailed understanding of equities is ideal but not essential
  • Experience in a financial services compliance or legal function (5+ years)
  • Be focused, with the ability to prioritise effectively to deliver results
  • Excellent attention to process and detail
  • Comfortable challenging the status quo in a constructive manner
  • Highly proactive and self-motivated
  • Professional Qualifications in Compliance and/or Financial Crime
  • Excellent communication skills
  • Educated to at least degree level in a relevant subject e.g. Business, Finance, Law etc.
  • Strong organisational and time-management skills
  • Strong bias for collaboration and teamwork
  • Great to work with / kind / genuine / operates with high integrity
  • Embraces all aspects of diversity
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