Compliance Manager

A well established Corporate Finance and Corporate Broking company are looking to recruit a Compliance Manager to support the Head of Compliance across all areas of Compliance. This role will be office based 5 days a week.

Main Responsibilities

• Conducting financial crime and regulatory compliance monitoring in accordance with the firm's Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP);
• Conducting surveillance activities to detect market abuse;
• Acting as Gatekeeper for internal and external wall crossings and maintaining the firm's insider list;
• Review and Update policy and Procedures;
• Providing expertise and support to KYC and on-boarding processes;
• Responding to ad hoc queries from the business on compliance related matters;
• Advising on regulatory changes and development;
• Responding to regulatory enquiries;
• Perform Central compliance tasks e. approve PA dealing, maintain Breaches Register

Job Requirements:

• Degree educated
• Knowledge and experience of the FCA regulatory framework for investment firms, including market abuse
• Experience of conducting compliance monitoring
• Excellent communication skills, including written, oral and presentation skills

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

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