£65,000 - £75,000
3 months ago
Compliance Manager required for a financial services firm based in London that offers FCA Umbrella services to VC firms, Fund Managers, Managed Accounts (trading Futures & Options) and to other industry sectors.
The company are a market leader in their field offering FCA Umbrella services to Appointed Representatives.
As Compliance Manager you will be supporting the Head of Compliance & MLRO on all compliance related duties. Example of duties:
• Creating, developing, implementing compliance policies and procedures.
• Developing and improving compliance controls currently in place including periodic monitoring.
• Acting as escalation for compliance financial promotions.
• Categorising Appointed Representatives according to the company’s compliance risk appetite.
They are a collegiate and commercial team looking for someone able to wear a commercial and compliance hat when making decisions. They need someone who is very comfortable and enjoys working closely with senior stakeholders ranging from CEO’s, traders to MD’s of their Appointed Representatives.
The company have an aggressive growth strategy and want someone to come on board and be a part of that.