Our client is hiring a Compliance Manager to join a growing and exciting firm.
A top stock broker and corporate advisory firm.
- 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.
Strong compliance generalist from an FS background needed with experience in:
A fantastic opportunity and competitive package.
This job was originally posted as www.totaljobs.com/job/76770867