An award-winning stockbroker based in Leeds has a requirement for a Compliance Officer with a strong background in Compliance Monitoring. In this position you will have access to an annual salary of £30,000 plus a comprehensive benefits package.

The main focus of this role is to monitor transactions in keeping with both external and internal requirements and regulations. You will also maintain TCF principles and encourage a positive Compliance culture within the firm. You will be able to carry out T&C for the company, review Financial Promotions and support the Internal Audit function at times.

The successful candidate will have proven experience either in investment or within a stockbroking firm and will have experience with monitoring and T&C. The Level 4 RDR or CISI qualifications are highly desirable and will support your application. All queries and applications should be directed to Alex Sanson, a.sanson@austinandrew.co.uk.