Compliance Manager - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

A well established Corporate Finance and Corporate Broking company are looking to recruit a Compliance Manager to support the Head of Compliance across all areas of Compliance.

This role will be office based 5 days a week.

Main Responsibilities

Conducting financial crime and regulatory compliance monitoring in accordance with the firm's Annual Monitoring Plan (AMP) and Compliance Monitoring Plan (CMP);
Conducting surveillance activities to detect market abuse;
Acting as Gatekeeper for internal and external wall crossings and maintaining the firm's insider list;
Review and Update policy and Procedures;
Providing expertise and support to KYC and onboarding processes;
Responding to ad hoc queries from the business on compliance related matters;
Advising on regulatory changes and development;
Responding to regulatory enquiries;
Perform Central compliance tasks e.g. approve PA dealing, maintain Breaches Register

Job Requirements:

Degree educated
Knowledge and experience of the FCA regulatory framework for investment firms, including market abuse
Experience of conducting compliance monitoring
Excellent communication skills, including written, oral and presentation skills

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