Compliance Manager

2 days left

Alexander Lloyd
02 Feb 2017
02 Mar 2017
Contract Type
Full Time
An international FX and CFD trading company is currently seeking an experienced Compliance Manager to join their team, reporting into the COO and having oversight of one assistant, you will take responsibility for the compliance of the company but will not hold controlled functions (at least initially).

This is a broad generalist role covering all compliance activities from updating compliance manuals and policies, reviewing financial promotions, monitoring and advising on new regulations, through to aml onboarding. It also includes some risk and ICAAP responsibilities.

To be considered for this Compliance Manager role, it is essential to have gained solid generalist compliance experience at a mid-management to senior level. My client is also particularly interested in people with a legal background. Experience gained within an FX/CFD broker would obviously be highly desirable.

This is a newly created role that will give you the opportunity to take responsibility for the compliance function, make senior level decisions and be given the autonomy to make the role your own, but with the support and oversight of the COO. It is not a CF10/11 role so will suit someone currently at Compliance Manager level, looking to step up into a more senior role but not yet ready to take on controlled functions.

Please quote CDP1701-191 when calling Alexander Lloyd on and ask for our Compliance division. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.