We are recruiting for a leading city-based Stockbroker / Wealth Management firm looking for a Compliance Manager to oversee the day-to-day management of the Compliance Department.
Main Responsibilities
* Submission of RegData regulatory reports, notifications, and any other matter required to be notified to the FCA in a timely manner.
* Provide financial crime compliance advice and guidance in relation to KYC/CDD requirements.
* Assist with the operational effectiveness of the company’s systems and controls that are designed to achieve compliance with FCA regulations, working with the Head of Compliance to ensure all controls are in place to meet regulatory requirements.
* Responsibility to manage the company’s Anti Money Laundering and compliance monitoring programs and oversee the company’s anti-money laundering activities, policies, and procedures on a day-to-day basis.
* Review and sign off, in line with compliance procedures, all written material for external use such as newsletters, advertising, and marketing brochures.
* Monitor outside developments in the wider financial services sector and the compliance industry to maintain an up-to-date knowledge and awareness of relevant issues and future trends.
Job Requirements:
* At least 3 years of dealing with retail clients and knowledge of the stockbroking / wealth management sector.
* Excellent communication skills, both written and oral.
* Excellent interpersonal skills, working closely with senior management across the business.
Unless otherwise stated, candidates must have the right to work in the UK.
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