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Job Specification

Compliance Manager - Securities Trading Experience Required

£65K - £70K + Benefits & Bonus | London
Ref: 3383J

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


Our Client, a leading Broker Dealer is looking to recruit for a Compliance Manager to assist the Head of Compliance in advising Senior Management and the Board in accordance with the requirements within the ever changing regulatory and financial industry environment.  Reporting to the Head of Compliance, duties will include:

  • Day to day operation aspects of the Compliance function for the business to ensure that Compliance operates in an organised, controlled and effective manner.
  • Assisting the Head of Compliance with the day to day supervision and oversight of the Compliance department, ensuring the staff operate within an effective manner with due skill, care and diligence
  • Ensure that Compliance maintains appropriate systems, policies, processes and controls to enable it to operate efficiently and effectively, in a manner designed to support and protect the business.
  • Assist in the maintenance of the regulatory risk assessment for the business and to establish, maintain and advise upon polices, processes and records designed to manager, mitigate and/or avoid regulatory risks.
  • Produce appropriate management information (including reports) to assist the Head of Compliance, Board, relevant committees and Senior Management in their responsibilitie.

The ideal candidate should be a graduate with at least 5 years general compliance experience, some of which must have been from a securities trading environment, with good product knowledge including Fixed Income Bonds, Equities and/or Futures & Options.

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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