Compliance Manager

We have been exclusively instructed by a Financial Services firm seeking a Compliance Manager to join their business on an initial 12-month Fixed Term Contract.

Main Responsibilities:

• Assist and monitor Personal Account Dealing using the PA Dealing system and generate reports for Compliance and the Board.
• Maintain and oversee Gifts & Entertainment disclosures.
• Handle the Breach Register and follow-up actions.
• Support customer onboarding and due diligence from a compliance perspective.
• Manage the computer-based training system to keep employees’ training current and produce relevant reports.
• Monitor trading activity and related communications.
• Assist in annually reviewing regulatory and business policies and manuals to ensure they outline clear compliance procedures. 

Job Requirements:

• Minimum of 3 years Compliance experience from within a similar Financial Services firm.
• Strong Central Compliance background including but not limited to looking at MAR, Insider Dealing, PA Dealing & Training.
• Hands-on approach, comfortable working within a small, close-knit working environment.
• Excellent communication skills, both written and oral.

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 jobs@clarcrecruitment.com

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