Compliance Manager | London, UK | Hybrid

Kennedy Pearce; London; Hybrid; GBP 60,000; Full time

Job summary

A global stockbroker in London is seeking a Compliance Manager to support the Head of Compliance. This role involves maintaining internal controls, providing training, and managing regulatory reporting. The ideal candidate should have experience in compliance and financial crime, with a background in brokerage or corporate finance. The position offers a salary of £60K plus bonus and benefits, with hybrid working potential.

Benefits

Bonus

Benefits

Hybrid working potential

Qualifications

• Experience in Compliance within a brokerage or corporate finance environment.
• Strong understanding of financial crime regulations.
• Ability to conduct internal reviews and gap analyses.

Responsibilities

• Maintain operational effectiveness of internal controls.
• Provide training and update policies.
• Review complaints and regulatory developments.

Skills

Compliance

Financial Crime

AML

Regulatory Reporting

Job description

Our client is a global City-based stockbroker offering corporate finance and brokerage services to a diverse client base. They are seeking a Compliance Manager to support the Head of Compliance/MLRO in a non-leadership role.

Duties & Responsibilities of a Compliance Manager

The Compliance Manager will be responsible for maintaining the operational effectiveness of internal controls, providing training, updating policies, reviewing complaints and regulatory developments, undertaking regulatory reporting, conducting internal reviews and gap analyses, collating MI on findings, and dealing with AML and SM&CR issues.

Attributes and Background of a Compliance Manager

The ideal candidate will have a brokerage or corporate finance background with experience in Compliance and Financial Crime. Salary: £60K plus bonus and benefits. Hybrid working potential, negotiable. Please contact us for more details.