Compliance Manager


The Client

A leading multi-jurisdictional financial services business with offices in the City. My client is an established, well regarded and growing broking business that offers a broad range of brokerage services to an international client base. Offering services to clients across multiple asset classes from commodities to equities and fixed income.

The Role

To ensure the business is adhering to relevant regulations within the UK.

- Writing and presenting monitoring reports to senior management

- Ensuring the business is compliant with regulations

- Monitoring of daily business

- Monitoring of personal dealing accounts

- Manage and review workload of team

- Manage customer complaints where applicable

- Monitoring relationship with other Brokers to ensure they are compliant

Key Skills and Attributes

- Excellent communication skills

- Comfortable dealing with individuals across levels of seniority

- Competent with MS Office

- Minimum of five years experience in financial services

- Experience of managing a team

- Strong knowledge of regulations and compliance monitoring