Compliance Officer - Stocks & Investment

Robert Walters; Manchester; On-site; GBP 35,000 - 45,000; Full time

Job summary

A leading broker in Manchester is seeking a qualified Compliance Officer to oversee regulatory compliance in cash management and stock custody. The role involves collaboration with team members and communication with regulatory bodies. The ideal candidate should possess a Diploma in Investment Compliance and have a background in wealth management or financial advisory.

Benefits

23 days annual leave

Bank Holidays

Qualifications

• Background in wealth management, financial advisory, or investments.

Responsibilities

• Ensure cash compliance standards are met.
• Liaise with external regulators and the FCA.

Skills

Communication

Detail-oriented

Education

Diploma in Investment Compliance

Job description

Compliance Officer - Stocks & Investment (WSYTBG-9C793BB4) City Of Manchester, England

Salary: GBP 35,000 - GBP 45,000 per annum + Negotiable DOE

Role: 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 oversee regulatory compliance related to cash management and stock custody, 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 this opportunity, apply online today!

Name: Please include your first and last name.

Email: Please include your email address.

Phone: Please include your country code.

CV / Resume: Please upload your CV or Resume.

Work Eligibility:

• Yes, I am currently eligible to work (work permit/visa/citizenship) in the country to which I am applying.
• No, I am not currently eligible to work in the country to which I am applying.