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Royal Tunbridge Wells

    Compliance Manager/Senior Manager - Tunbridge Wells, Kent, United Kingdom - Meraki Talent Ltd

    Default job background
    Accounting / Finance
    Description
    Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.

    There is an excellent opportunity for a Compliance Monitoring Manager to join their team, this role is based in Kent and operates on hybrid model.

    This is permanent role.

    This role will report directly to the head of compliance & MLRO

    Key Responsibilities include.
    documentation and staff interviews to ensure the firm is not exposed to risks
    the firm meets all regulatory requirements and or conduct risks
    reporting that is clear and conclusive of assurance activities
    and advise head of compliance on findings on monitoring activity
    and manage a junior compliance monitoring Analyst
    the head of compliance with the implementation of compliance policies and regulator rules
    regulatory changes and ad hoc compliance changes

    The ideal candidate will have.

    experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
    knowledge of AML/ Audit process
    ability to interpret financial regulation and regulatory requirements as asses operational compliance with financial crime risk
    attention to detail
    ability to manage own workload with minimal supervision

    Please be advised there is no sponsorship available for this role.

    They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well

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