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A Compliance Consultancy in the City is looking to expand it's capability and looking for a Compliance Manager to assist the Investments team in handling client accounts and providing tailored compliance solutions.
Providing compliance advisory services and support to the firm and clients
Conduct client file reviews and provide detailed audit reports
Making recommendations to the clients of any areas that need addressing
Assist the development of compliance policies and procedures
Carry out client training and competency site-visits
Supervise junior staff and provide technical skills training as required
Maintain regulatory compliance policies (including MiFID) and Financial Crime Prevention programmes covering Market Abuse, Conflicts of Interest, Personal Account Dealing, Financial Promotions, and Competence Training
Ideally 4+ years' experience in Compliance (regulatory and FCC)
Background in financial services, ideally around investments & financial markets (equities, derivatives, CFDs, funds etc) in either a broking/trading capacity
Experience dealing directly with clients as well as senior management/stakeholders
Relevant academic/professional qualifications (degree and CISI/ICA or equivalent ideal)
Excellent written and verbal communications essential
Type: Permanent, full-time
Salary: £50-60k base, depending on experience
Location: London, City (some travel required)
Please note all applicants must be eligible to work in the UK without sponsorship.
Internal Number: 6249190
About JCW Search
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