Compliance Manager - Leading Brokerage

City of London
£70000 - £90000 per annum + excellent benefits + bonus
14 Nov 2013
12 Dec 2013
Jo Thomas
Contract Type
Full Time

An outstanding and challenging Compliance Manager is required to work for a well-established and leading brokerage firm in central London. As Compliance Manager, your role will be varied however the core element of this role will be to provide advice, guidance, direction and interpretation on compliance and regulatory matters across the Firm and to drive forward a positive compliance culture.

You will be responsible for keeping abreast of regulatory updates and reviewing and producing briefings in respect of compliance and financial crime related regulatory developments. As Compliance Manager you will be supporting the Customer Due Diligence Team, as well as other departments around the business, providing advice and support in respect to financial crime and reputational risk issues, providing on-going advice to the business and resolve day to day issues in relation to compliance and regulation including financial crime and exchange rules

This Compliance Manager role will see you work closely with the Market Surveillance & Conduct team on the investigation of monitoring alerts and where necessary, inform senior management and report suspicions to the appropriate authority as appropriate, as well as ensuring tools and templates for the compliance risk management framework and financial crime risk management framework are reviewed and discussed with the Head of Compliance/MLRO

Our client is looking for an experienced financial Compliance specialist who has an in-depth knowledge of the FSA handbooks and other relevant regulations, as well as the ability to apply this knowledge in a commercial environment. You must also have sound knowledge of financial crime regulations. An understanding of the financial industry including a working knowledge of a wide range of financial products and service and the experience of working with Senior Management is required

This role will suit someone with financial compliance experience, as well as the ability to manage and draft a suite of regulatory policies and procedures - previous experience of financial crime monitoring within a large corporate environment would be advantageous.

For more information concerning this Compliance Manager role, please send your CV to, or contact Joanne Thomas at Pro-Finance on 0207 269 6324.

The Pro-Recruitment Groups consists of 3 distinct brands: Pro-Tax, Pro-Legal and Pro-Finance:

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