Compliance Manager - Leading Stockbroker

Guru Careers
London (Greater)
10 Jan 2018
09 Feb 2018
Contract Type
Full Time

Compliance Manager - Leading Stockbroker

A Compliance Manager is needed to join a leading firm of City Stockbrokers. Expect to play a key supporting role ensuring effective systems and controls for Compliance.

Based in the heart of London's financial district our client is an established and regulated firm in financial services that delivers exceptional trading opportunities to both retail and institutional clients in equity trading. Due to continued expansion they are now seeking a Compliance Manager to join their talented team.

Reporting to the Head of Compliance & Risk, the Compliance Manager will utilise their experience within a financial environment to support the implementation of compliance policy / framework for the organisation. Whether you are assisting the Head of Compliance in their day-to-day duties, including AML; or acting as the central point of contact for financial promotions and external communications; identifying and monitoring relevant compliance risks; advising on the development of effective compliance procedures; identifying, analysing and distributing changes to the current regulatory framework in a timely manner or participating in the design and delivery of compliance related seminars, it will be your current knowledge of regulatory and legislative requirements that ensures the implementation of accurate compliance procedures.

To qualify...You should be a Compliance Manager / Compliance & Risk Manager / Compliance Executive / Compliance Analyst / Compliance Officer or similar with a CV that demonstrates:

  • Experience in a similar Compliance / Legal or Audit role within business / financial services;
  • Extensive current knowledge of regulatory and legislative requirements;
  • Experience within a financial environment - banking, investment, asset management or securities;
  • You are studying towards or hold a relevant qualification i.e. SII Compliance Diploma;
  • Excellent numerical, written and verbal communication skills;
  • Familiarity of working to deadlines and writing detailed reports;
  • A high level of accuracy;
  • The ability to work as part of a team;
  • The ability to adapt to different audiences and build effective relationships.

In return the Compliance Manager will be joining a rapidly growing financial organisation that offers fantastic opportunities.

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