Head of Onboarding

Trades Workforce Solutions; Greater London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A growing financial firm in London is seeking a compliance manager for a 6-month contract, with opportunities to go permanent. This role involves managing market surveillance alerts, compliance activities, and supporting regulatory engagements. Candidates should have 5-8 years of compliance experience, strong organizational skills, and a good understanding of trading and investment banking. The firm emphasizes technology and provides a collaborative working environment.

Qualifications

• 5-8 years’ practical experience in a compliance position.
• Strong understanding of surveillance and compliance.
• Knowledge of foreign exchange/trading/investment banking would be a big plus.
• Attention to detail and strong organizational skills.

Responsibilities

• Manage daily market surveillance alerts and electronic communications.
• Calibration of monitoring systems and design of new tests.
• Support with regulatory engagements and market abuse framework.
• Perform KYC/CDD/EDD reviews on clients.

Skills

Compliance position experience

Understanding of surveillance

Communication skills

Organizational skills

Knowledge of FCA regulations

Tools

CRM systems

Trading platforms

Job description

Equifind have teamed up with an exciting investment firm in London, who are looking to add a compliance manager to the team, for the next 6 months with a view to going permanent after.

The business has grown considerably over the past few years due to high demand and market growth, so you have a chance to join a fantastic working environment where everyone has a voice to create a collaborative culture.

As the compliance manager you will have a blended role, supporting the head of compliance, with onboarding, financial crime monitoring and trade surveillance. A very hands-on, broad role for someone to get their teeth into.

Key duties and responsibilities for this compliance manager position include:

• Manage the review and actioning of daily market surveillance alerts and electronic communications
• Calibration/tailoring of monitoring systems, and design of new tests to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communication systems
• Manage the production of timely and accurate MI on surveillance activity for senior management and committees on market abuse governance and monitoring framework
• Support with enquires, regulatory engagements and other enquires relating to the organisations’ market abuse framework and monitoring framework
• Assist with the annual market abuse risk assessment (MARA) and compliance risk assessment in line with local regulations
• Assist with the detection, investigation, and reporting of suspicious activity, preparing SARs/STRORs
• Perform KYC/CDD/EDD reviews on institutional and high-net-worth clients, including risk assessments for complex structures
• Review and approve client onboarding and continuation decisions, including EDD cases
• Assist with compliance monitoring programme, thematic reviews, and regulatory change projects
• Continuous review of policies and procedures geared around market abuse and compliance monitoring
• Prepare training material and documents for staff members relating to market abuse, conduct and financial crime
• Assist with general compliance and AML activities

Experience & Qualifications

• 5-8 years’ practical experience in a compliance position
• Strong understanding of surveillance and compliance
• Knowledge of foreign exchange/trading/investment banking would be a big plus
• Excellent communication and interpersonal skills
• Attention to detail and strong organizational skills, with the ability to manage multiple tasks and prioritize effectively
• Proficiency in using CRM systems, trading platforms, and other relevant software applications
• Significant knowledge of FCA industry standards, regulations, and anti-financial crime matters

About the business

A new player in the global financial services space with a strong focus on both the traditional and digital offerings. The company has an exciting management team that has a proven track record in the brokerage sector.

The business has a strong focus on technology, and its user-friendly platform is a key component in driving the business forward and offering a high customer experience.

With multiple offices across the globe, you will be joining a business in the growth phase and work closely with multiple stakeholders across the business regularly.

You will support the group head of compliance with all the required surveillance duties, as well as the wider compliance requirements.