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