Our client is a global City-based stockbroker offering corporate finance and brokerage services to a diverse client base. They are seeking a Compliance Manager to support the Head of Compliance/MLRO in a non-leadership role.

Duties & Responsibilities of a Compliance Manager

The Compliance Manager will be responsible for maintaining the operational effectiveness of internal controls, providing training, updating policies, reviewing complaints and regulatory developments, undertaking regulatory reporting, conducting internal reviews and gap analyses, collating MI on findings, and dealing with AML and SM&CR issues.

Attributes and Background of a Compliance Manager

The ideal candidate will have a brokerage or corporate finance background with experience in Compliance and Financial Crime. Salary: £60K plus bonus and benefits. Hybrid working potential, negotiable. Please contact us for more details.