Senior Compliance Officer

4 weeks ago


Tunbridge Wells Kent, United Kingdom meraki talent ltd Full time

Meraki Talent are currently working with an Investment Management company with a strong stock brokering background. If you want to know about the requirements for this role, read on for all the relevant information. 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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