Compliance Manager – COBS Compliance Experience Required
£80K - £90K + Benefits & Bonus | West End
Our Client, a London based Wealth Boutique and Fintech organisation are looking to recruit a Compliance Manager to assist with day to day compliance issues. Reporting to the Head of Compliance, duties will include:
• Enforcing all elements of the Firms regulatory policies and procedures
• Carrying out of Compliance Monitoring in line with the Firms monitoring program
• Drafting, reviewing and on-going management and company wide adherence to compliance policies and procedures
• Approving employee personal trades and to ensure staff members have obtained the required approval before trading
• Working with and assisting the MLRO and Head of Compliance with complex issues
• Carrying out and management of reviews, approvals and relayed AML projects
The ideal candidate will be a graduate with at least 4 years Conduct of Business Compliance experience from a financial services environment looking to work in a mixed role covering some AML as well.
NB Please do not apply if your only experience is AML or KYC – thank you.
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 firstname.lastname@example.org