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Job Specification

Compliance Manager – COBS Compliance Experience Required

£80K - £90K + Benefits & Bonus | West End
Ref: 3653J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

 
 

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 darren@compliancerecruitment.com

 

                                                          

 

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