Brokerage Compliance Manager

London (Central), London (Greater)
£70000 - £90000 per annum + benefits + bonus
03 Jan 2014
31 Jan 2014
Jo Thomas
Contract Type
Full Time

Brokerage Compliance Manager
£70,000 - £90,000

Keep abreast of, review and produce briefings in respect of compliance and financial crime related regulatory developments
Provide advice and support to the Customer Due Diligence team, the business and other departments in respect to financial crime and reputational risk issues
Provide on-going advice to the business and resolve day to day issues in relation to compliance and regulation including financial crime and exchange rules
Participate in business change and the new product approval processes as the compliance representative
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
Ensure 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
Draft the annual MLRO report
Liaise with overseas jurisdictions on compliance and financial crime areas where there is cross-border impact or implications
Investigate complaints and agree conclusions with Head of Compliance and the business
Act as subject matter expert in relation to primary areas of responsibility

To be considered for this role you will be an experienced Compliance specialist from the Brokerage or Investment Banking sectors and be skilled in compliance for front-office trade operations.

If you'd like more information about this role and company please send your CV to Joanne Thomas at Pro-Finance on

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