EXCLUSIVE: SENIOR COMPLIANCE MANAGER (FRONT OFFICE) - FIXED INCOME & FX KNOWLEDGE WITH SOME MONITORING OR SURVEILLANCE EXPERIENCE (BUY OR SELL SIDE) REQUIRED
£85K -£100K + Generous Bonus & Benefits | West End
We are exclusively recruiting for our client, a leading niche Investment Firm, seeking a Senior Compliance Manager to provide general Compliance advisory and monitoring support to the business with a particular focus on front office dealing and investment management activities. Reporting to the Head of Compliance (& deputising where necessary) in a mixed and varied role , duties will include;
• Day-to-day Compliance advice to the dealing & investment management teams
• Management of surveillance of electronic communications (including emails, IMs and voice) in line with Market Abuse requirements;
• Conducting day-to-day, intra-month and other periodic compliance monitoring reviews with particular focus on front office activities and related FCA rules (with support from other junior team members as required);
• Assisting in updating the monitoring programme with new/revised checks as a result of regulatory or systems changes.
• Investigation of any errors impacting the dealing and investment management teams.
• Maintain Stop Notices/Restricted/Exclusion lists on client accounts and advise the business groups accordingly;
• Keeping up to date with regulatory initiatives – industry briefings/websites, FCA website etc with particular focus on front office matters including best execution, market conduct and research
• Compliance/regulatory driven projects;
You should have a detailed knowledge of the FCA handbook particularly COBS rules relating to dealing, a good knowledge of fixed income (& foreign exchange markets) and some previous monitoring or surveillance experience. This may have been gained from either an Investment Banking/Securities Trading or else a similar Asset Management department.
NB This is a small friendly team reporting to a very experienced and pleasant manager with good promotion prospects.
For a confidential no obligation discussion, please feel free to call David Symes FCA on 44-20-7330 -6966 or send your details to him at email@example.com.
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
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.