Senior Compliance Officer
4 weeks ago
Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.
There is an excellent opportunity for a Senior Compliance officer to join their team, this role is based in Kent and operates on hybrid model. This is 6 month contract role.
This role will report directly to the head of compliance
Key Responsibilities include.
- the head of compliance with implementation of compliance and regulatory rules
- the firm meets all regulatory requirements and or conduct risks
- reporting that is clear and conclusive of assurance activities
- regulatory changes and ad hoc compliance changes
- receipts of the FCA notice and good practice guidance
- in the preparation of regulatory submission
- maintain and update technical regulatory knowledge#
The ideal candidate will have.
- experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
- experience in compliance and risk management
- and control procedures
- written and verbal communication skills
- experience to mentor and manager junior members of staff
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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