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Job Specification

Compliance Manager - Securities Broking and/or Corporate Finance Experience Required

£60K - £70K + Benefits + Bonus | City
Ref: 3382J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent


Our Client, a leading corporate advisory & institutional broking firm, is looking to recruit a Compliance Manager to support the Head of Compliance in all compliance matters. Duties will include;

·         Maintain, update and carry out the monitoring programme and report the results to the Head of                Compliance

·         Create and maintain the FCA positions report and any disclosures if required

·         Review and update research disclosures as required

·         Provide compliance advice escalating questions and issues as appropriate

·         Updating the restricted list on a daily basis

·         Daily and weekly POTAM disclosures

·         Approving and logging all PA Dealing

The ideal candidate should have proven compliance experience with a good working knowledge of FCA Rules and Regulations either from a Securities Broking and/or Corporate Finance environment.

For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at


Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 


The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge



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