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Compliance Manager

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

We are exclusively recruiting for a leading city based Stockbroker / Wealth Management firm are looking to for a Compliance Manager to oversee the day to day management of the Compliance Department.Main Responsibilities

  • Assist with the operational effectiveness of the companys systems and controls that are designed to achieve compliance with FCA regulations, working with the Head of Compliance to ensure all controls are in place to meet regulatory requirements
  • Responsibility to manage the companys Anti Money Laundering and compliance monitoring programs and oversee the companys anti-money laundering activities, policies and procedures on a day to day basis
  • Review and sign off, in line with compliance procedures, all written material for external use such as newsletters, advertising and marketing brochures
  • Oversee internal arrangements for managing the firms compliance with the SMCR regime
  • Assist in the completion of FCA Reporting
Job Requirements:
  • At least 4 years of Dealing with retail clients and knowledge of stockbroking / wealth management sector
  • Strong generalist Compliance background
  • Excellent communication skills, both written and oral
  • Excellent interpersonal skills, working closely with senior management across the business
Unless otherwise stated, candidates must have the right to work in the UK.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 replyto 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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