My client, a thriving full service investment brokerage company, are looking to hire a Compliance Team Manager to look after the monitoring team. The main responsibilities of the role are as follows:
- Oversight of the monitoring team on a daily basis
- Oversight of the PA dealing function - to include accounts held outside the company
- Preparation of the appropriate monitoring reports for the relevant committees and senior management
- Maintenance of FCA registrations and the register
- To assist with Exchange investigations
- Staff training and development
The successful candidate will possess the following:
- Minimum of 5 years industry/exchange/product experience
- Working knowledge and experience of front end trading platforms
- Staff training and development
In return for the above my client will offer a competitive remuneration package. Full details are available upon application
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