Compliance Manager

2 weeks ago

Kent, United Kingdom Symes Collins Full time

Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required

Ref: 4027G

£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 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;

  • guidance and technical advice on compliance processes and systems to team members and assist with resolving problems where possible.
  • regular updates to the Head of Compliance on levels of workload in the team, identifying potential areas of risk or a shortfall in performance.
  • 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.
  • 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.
  • 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.
  • in the preparation of regulatory submissions.
  • 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.

If you feel you have the above average interpersonal skills and technical knowledge to be successful in this role, please send your details to gary@symescollins.com (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.

  • Compliance Manager

    5 days ago

    Kent, United Kingdom Trust In Soda Full time

    **Compliance Manager** **Start: ASAP (no long notice periods)** **Length: 3 months, initially** **Location: Remote/Kent (1-2 days if possible)** **Rate: circa £400PD** **IR35: Inside** Trinnovo Group have partnered with a reputable Financial Services client who provide support to over 10,000 charities, globally. They are in need of a skilled...

  • Compliance Manager

    1 month ago

    Kent, United Kingdom Colyer Dodd & Co Ltd Full time

    This will be a key role, working closely with the Head of Compliance and providing technical compliance support within an expanding financial advisory business with particular focus on pensions and retirement planning. It is envisaged that this broad and varied role will cover all aspects of compliance and will include monitoring and audits, providing...

  • Regulatory Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required 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 support the Head of Compliance in all areas of compliance...

  • Regulatory Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required 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 support the Head of Compliance in all areas of compliance...

  • Regulatory Compliance Manager

    1 week ago

    Kent, United Kingdom Symes Collins Full time €70,000 - €80,000

    Compliance Manager - Six Month Contract - Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required 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 support the Head of Compliance in all areas of compliance including...

  • Compliance Manager

    1 month ago

    Maidstone, Kent, United Kingdom Southern Housing Full time

    Hybrid working - Maidstone, Sittingbourne, Hastings, Croydon or Farringdon The role Do you have a high level of skill in electrical works? Are you a great communicator with the ability to inspire others? If yes, this may be the perfect role for you!We have a great opportunity for a Compliance Manager to join our dedicated Asset Compliance team. Youll...

  • Compliance Manager

    1 week ago

    Kent, United Kingdom Symes Collins Full time €70,000 - €80,000

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Increase your chances of an interview by reading the following overview of this role before making an application. Ref: 4027G £70K - £80K pro-rata Hybrid/Kent We have been appointed by our Client, a boutique Retail & Institutional...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Job Description Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4027G £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 support the Head of Compliance in...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Job DescriptionCompliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4027G£70K - £80K pro-rata Hybrid/KentWe 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...

  • Quality & Compliance Manager

    7 days ago

    Ashford, Kent, United Kingdom New Appointment Group Full time

    Part-time Quality & Compliance ManagerWe are supporting our well-known client in the insurance industry in their search for a Quality & Compliance Manager, on a part-time basis. You will be responsible for developing and maintaining the Quality Management System (QMS), in order to drive efficiencies and strive to continually improve business processes....

  • Quality & Compliance Manager

    2 days ago

    Ashford, Kent, United Kingdom New Appointment Group Full time

    Part-time Quality & Compliance Manager Ensure all your application information is up to date and in order before applying for this opportunity. We are supporting our well-known client in the insurance industry in their search for a Quality & Compliance Manager, on a part-time basis. You will be responsible for developing and maintaining the Quality...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Ashford Borough Council Full time

    Job Title: Compliance ManagerLocation: Ashford, KentSalary: £47,616 to £52,776 per annum, depending on skills and experience, Plus Lease car or cash alternative of £3,080 per annumJob Type: Full time, PermanentWorking Hours: 37 Hours Per WeekClosing Date: 23rd May 2024About The Role:Do you have .High level of experience and training in compliance matters...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Ashford Borough Council Full time

    Job Title: Compliance Manager Location: Ashford, Kent Salary : £47,616 to £52,776 per annum, depending on skills and experience, Plus Lease car or cash alternative of £3,080 per annum Job Type: Full time, Permanent Working Hours: 37 Hours Per Week Closing Date: 23rd May 2024 About The Role: Do you have . High level of experience and training in...

  • Compliance Manager

    2 days ago

    Kent, United Kingdom Symes Collins Full time €70,000 - €80,000

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required All potential candidates should read through the following details of this job with care before making an application. Ref: 4027G £70K - £80K pro-rata Hybrid/Kent We have been appointed by our Client, a boutique Retail &...

  • Quality & Compliance Manager

    1 week ago

    Ashford, Kent, United Kingdom New Appointments Group Full time €30,000

    Part-time Quality & Compliance Manager We are supporting our well-known client in the insurance industry in their search for a Quality & Compliance Manager, on a part-time basis. You will be responsible for developing and maintaining the Quality Management System (QMS), in order to drive efficiencies and strive to continually improve business processes. ...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4027G£70K - £80K pro-rata Hybrid/KentWe 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...

  • Quality & Compliance Manager

    5 days ago

    Ashford, Kent, United Kingdom New Appointments Group Full time

    Part-time Quality & Compliance Manager We are supporting our well-known client in the insurance industry in their search for a Quality & Compliance Manager, on a part-time basis. You will be responsible for developing and maintaining the Quality Management System (QMS), in order to drive efficiencies and strive to continually improve business processes. ...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4027G£70K - £80K pro-rata Hybrid/KentWe 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 Manager

    1 week ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required All potential candidates should read through the following details of this job with care before making an application.Ref: 4027G£70K - £80K pro-rata Hybrid/KentWe have been appointed by our Client, a boutique Retail & Institutional...

  • Compliance Manager

    2 weeks ago

    Kent, United Kingdom Symes Collins Full time

    Compliance Manager - Six Month Contract – Stockbroking, Asset Management or PWM Compliance Monitoring Experience Required Ref: 4027G£70K - £80K pro-rata Hybrid/KentWe 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...