Compliance Manager

England, London
Up to £50000.00 per annum
03 Feb 2023
03 Mar 2023
Darren Ruskin
Contract Type
Full Time

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

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