Compliance Officer and MLROFinancial Services in Bedford, Bedfordshire

Full Time Job Details

About William Albert Securities Limted

William Albert Securities Limited (WASL) is a global, dynamic, proactive and innovative investment firm, based in the UK. We focus on our client's needs through creative financial solutions and assist them in meeting their investment objectives and reach beyond their expectations to create profitability.

WASL prides itself in being one of the leading providers of advisory and execution Stock-broking services to sophisticated investors- both individuals and institutions. Our expertise lies in offering investment research service to retail and professional clients, covering equities, forex and commodities to name a few.

 Careers at William Albert Securities Limited

The work culture at William Albert Securities Limited is about innovation, teamwork and dedication. By working together, we have managed to create a company that thinks imaginatively, acts decisively and delivers quickly to a global clientèle in the ever changing world of financial markets. With this approach we have managed to create partnerships to create wealth.


No matter where financial markets are leading us, our policies are always people oriented, with a focus on training and development for efficient service delivery. William Albert Securities limited strongly believes in continual learning process and exposes its employees to regular training programs and seminars. All our employees are encouraged to align their personal goals with professional objectives, as we believe that only a content employee can keep its clientele happy. We aspire to be the best place to work: to attract and retain the best talent while helping employees to realise their full potential. We offer competitive salary, healthy work atmosphere and excellent benefits to all our employees.

Skills, Qualifications & Experience Required
  • The Role
  • This role will be responsible for Compliance, MLRO and Risk Management:
  • To put procedures in place to ensure Compliance is more proactive and which will be more formalized and documented.
  • To carry out compliance reviews, such as an assessment of a firms systems and controls.
  • You will also put Compliance monitoring programs in place. implement the risk-based compliance monitoring programme as it relates to investment and the handling of day to day investment compliance queries and
  • And ensure that the Company is up with new and proposed regulatory developments.
  • You will also be expected to enhance the companies risk management processes by identifying the risks, their management, responsibilities and reporting.
  • Documentation, ensuring that customer service and fair treatment practices of the Company are at the forefront of investment activity.
  • Knowledge:
  • Financial services and related regulations - technical knowledge of specific areas of the FSA handbook.
  • Able to apply your compliance knowledge to a firms’ requirement - broking and wealth management industry.
  • The skill to write excellent reports for the firm
  • Qualifications:
  • Relevant Degree
  • Consultancy background a bonus
LocationBedford, Bedfordshire
Submited ByWilliam Albert Securities Limited
CategoryFinancial Services
Published OnJun 13, 2011
Expires OnJun 24, 2011
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Contact the Owner
Contact Details
2 Mill Street
Bedford, Bedfordshire
MK40 3HD
map & driving directions
Phone Number
William Albert Securities Limited
  We are a global, dynamic, proactive and innovative investment firm, located in the UK. We focus on our customers’ needs through creative financial solutions and assist them in meeting their investment objectives and reach beyond their expectations to create profitability.
William Albert Securities Limited is an excellent firm and it is providing most of
Free Portfolio Assessment - WASL-RECCOM - Making your financial investments worth
2 Mill Street, Bedford, MK40 3HD
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