We are recruiting for a leading city based Stockbroker / Wealth Management firm are looking for a Compliance Manager to oversee the day to day management of the Compliance Department.
Main Responsibilities
*Submission of RegData regulatory reports, notifications and any other matter required to be notified to the FCA in a timely manner.
*Provide financial crime compliance advice and guidance in relation to KYC/CDD requirements
*Assist with the operational effectiveness of the company’s systems and controls that are designed to achieve compliance with FCA regulations, working with the Head of Compliance to ensure all controls are in place to meet regulatory requirements
*Responsibility to manage the company’s Anti Money Laundering  and compliance monitoring programs and oversee the company’s anti-money laundering activities, policies and procedures on a day to day basis
*Review and sign off, in line with compliance procedures, all written material for external use such as newsletters, advertising and marketing brochures
*Monitor outside developments in the wider financial services sector and the compliance industry to maintain an up-to-date knowledge and awareness of relevant issues and future trends
Job Requirements:
*At least 3 years of  Dealing with retail clients and knowledge of stockbroking / wealth management sector
*Strong generalist Compliance background
*Excellent communication skills, both written and oral
*Excellent interpersonal skills, working closely with senior management across the business
Unless otherwise stated, candidates must have the right to work in the UK.
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