Compliance Manager

Recruiter
Michael Page Banking and Financial Services
Location
United Kingdom
Salary
£40000 - £50000 per annum + Bonus
Posted
07 Oct 2017
Closes
08 Nov 2017
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

Our client is hiring a Compliance Manager to join a growing and exciting firm.

Client Details

A top stock broker and corporate advisory firm.

Description

  • Working on and reviewing corporate finance transactions
  • Act as the in-house regulatory manager providing advice and guidance to all areas of the firm.
  • Regular AML monitoring including trade monitoring. e-communications monitoring and maintenance of watch/restricted and insider lists.
  • Review financial promotions
  • Submission of weekly reports to the Takeover Panel
  • Promote a strong risk-based approach and strong compliance culture across the firm.
  • Submission of monthly FCA reports and controlled function applications for new staff.
  • Review compliance policies and procedures
  • Knowledge of rules and regulations applicable to UK public companies, including the AIM Rules, the Listing Rules and Prospectus Directive and the Takeover Code.

Profile

Strong compliance generalist from an FS background needed with experience in:

Control room

Financial promotions

Compliance monitoring

AML

MAR

MiFID II

SMR

Job Offer

A fantastic opportunity and competitive package.


This job was originally posted as www.totaljobs.com/job/76770867