January 26, 2024

Exclusive – Compliance Manager

We are exclusively recruiting for a leading city based Stockbroker / Wealth Management firm are looking for a Compliance Manager to oversee the day to day management of the Compliance Department.

Main Responsibilities

  • Assist with the operational effectiveness of the company’s systems and controls that are designed to achieve compliance with FCA regulations, working with the Head of Compliance to ensure all controls are in place to meet regulatory requirements
  • Responsibility to manage the company’s Anti Money Laundering  and compliance monitoring programs and oversee the company’s anti-money laundering activities, policies and procedures on a day to day basis
  • Review and sign off, in line with compliance procedures, all written material for external use such as newsletters, advertising and marketing brochures
  • Oversee internal arrangements for managing the firm’s compliance with the SMCR regime
  • Assist in the completion of FCA Reporting

 Job Requirements:

  • At least 4 years of  Dealing with retail clients and knowledge of stockbroking / wealth management sector
  • Strong generalist Compliance background
  • Excellent communication skills, both written and oral
  • Excellent interpersonal skills, working closely with senior management across the business

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to vacancies@clarcrecruitment.com

#LI-DR1

Apply For Job

Similar Jobs

cropped-CLARC-Social-Logo

Hertfordshire

United Kingdom
£

40,000.00 –

 50,000.00
cropped-CLARC-Social-Logo

London

United Kingdom
£

90,000.00 –

 110,000.00
cropped-CLARC-Social-Logo

London

United Kingdom
£

Market Rate

cropped-CLARC-Social-Logo

London

United Kingdom
£

40,000.00 –

 45,000.00
cropped-CLARC-Social-Logo

London

United Kingdom
£

90,000.00 –

 120,000.00
cropped-CLARC-Social-Logo

South West London

United Kingdom
£

40,000.00 –

 60,000.00