Compliance Officer - Stocks & Investment

Robert Walters; Liverpool City Region; On-site; GBP 35,000 - 45,000; Full time

Job summary

A well-respected broker in Manchester seeks a qualified Compliance Officer to ensure regulatory compliance in cash management and stock custody. This dynamic role involves collaboration with accountants and external regulators, offering an opportunity to thrive within a transformative environment. Candidates should possess relevant qualifications and interpersonal skills.

Benefits

23 days annual leave

Bank Holidays

Qualifications

• Ideally holds a Diploma in Investment Compliance.
• Background in wealth management, financial advisory, or investments.

Responsibilities

• Collaborate with the accountant to ensure cash compliance standards are met.
• Work closely with team members responsible for custody and handling of stocks.
• Liaise with external regulators, auditors, and the Financial Conduct Authority (FCA).

Skills

Interpersonal Skills

Communication Skills

Detail-oriented

Compliance Best Practices

Education

Diploma in Investment Compliance

Job description

Compliance Officer - Stocks & Investment

Location: Manchester City Centre (Office-based)
Salary: £35,000 - £45,000 per annum (Negotiable, depending on experience)
Contract Type: Permanent, Full time
Benefits: 23 days annual leave + Bank Holidays

About the Company

A well-respected and long-established broker based in Manchester is currently undergoing an exciting phase of transformation. As part of this growth, the firm is seeking a qualified Compliance Officer to strengthen its team and ensure continued adherence to regulatory standards.

Role Overview

The Compliance Officer will play a vital role in overseeing regulatory compliance related to cash management and stock custody, while maintaining effective communication with regulatory bodies and stakeholders.

Key Responsibilities

• Collaborate with the accountant to ensure cash compliance standards are met
• Work closely with team members responsible for custody and handling of stocks
• Liaise with external regulators, auditors, and the Financial Conduct Authority (FCA)

Candidate Profile

Qualifications & Experience:

• Ideally holds a Diploma in Investment Compliance
• Background in wealth management, financial advisory, or investments

Skills & Attributes:

• Strong interpersonal and communication skills
• Detail-oriented with a solid understanding of compliance best practices

If you're interested in the following job opportunity apply online today!

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates