Six Month Contract – AML and MAR Experience Required

3 weeks ago

London, United Kingdom Compliance Recruitment Solutions Full time

Six Month Contract  – AML and MAR Experience Required  

Ref: 4026G

£70K - £80K pro-rata                                                                

Hybrid/Kent

We have been appointed by our Client, a boutique Retail & Institutional Stockbroker, who are looking to recruit a Compliance Manager to assist and work with the Head of Compliance generally, but with a particular focus as to implementing Anti-Money Laundering and Market Abuse compliance risk assessments, policies and procedures. Reporting directly to the Head of Compliance, duties will include

  • Assisting the Head of Compliance with oversight of the financial crime control framework which covers a broad base of financial crime compliance areas including Anti-Money Laundering, client risk assessment metrics, Market Abuse, Sanctions, CTF, Anti-Bribery & Corruption and Fraud.
  • Providing advice and guidance on the relevant regulations and best practice guidance.
  • Undertaking checks to ensure that core controls including those within AML and MAR are being followed, using system enquiries and reports, internal documentation and staff interviews to confirm that the firm is not exposed to undue risk.
  • Assisting with the monitoring of regulatory breaches and manage the resolution of potential and actual incidents to achieve the optimum outcome for the business and the customer at all times, escalating as appropriate to the Head of Compliance.
  • Assisting the Head of Compliance in other areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects.

  • The successful candidate must have gained solid experience of Financial Crime processes (not CDD/KYC) and a detailed knowledge of the Market Abuse Regulations (MAR).  

     

    This is a fantastic opportunity for a confident and polished individual with strong interpersonal and analytical skills to join a successful and well-established Stockbroker in a visible and influential compliance role. NB the Role is 3d pw in their Kent office and 2d pw WFH.

     

    If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to (including a contact number & email) however please note that while we try, we cannot always reply to all applications although under no circumstance are your details ever passed on without your specific permission. 

     

    Compliance Recruitment Solutions Limited (CRS) and Symes Collins are acting as an employment agency in relation to this role.

    The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

     

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