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Six Month Contract
4 months ago
Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required
Hybrid/Kent
We have been appointed by our Client, a boutique Retail & Institutional Stockbroker, who are looking to recruit a Compliance Manager to support the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects. Reporting directly to the Head of Compliance, duties will include;
Providing guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
Providing regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance.
Undertaking checks to ensure that core controls 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.
In liaison with the Head of Compliance, ensure that clients’ complaints are reviewed and appropriate action taken depending on whether they are indicative of procedural weakness or failure of internal controls.
Assisting in the preparation of regulatory submissions.
Assisting with ad hoc projects including new regulatory guidance, introduction and implementation.
The successful candidate must have gained solid Compliance experience of COBS with a comprehensive understanding of FCA and other appropriate regulations governing the conduct of retail stock broking or investment management 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. Compliance Recruitment Solutions Limited (CRS) and Symes Collins are acting as an employment agency in relation to this role.
