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Job Specification

Compliance Manager - Trade Surveillance or Front Office Compliance Monitoring (Investment Banking or Securities Trading) Experience Required

£55K - £70K plus bonus + good bens | Hybrid (City)
Ref: 3913G

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


Our Client, a highly regarded boutique Investment Bank, are looking for a experienced Compliance officer to join their team. Reporting to the Head of Compliance, duties will include; 


  • Conducting Compliance Monitoring testing programmes 

  • Identifying potential suspicious transactions and determining whether reports to the regulator are required. 

  • Providing solutions for any weaknesses in the control framework, maintaining regulatory requirements. 

  • Providing advice to the business on regulatory matters as required, with a thorough understanding of the Market Abuse Regime. 

  • Assisting in reviewing and analysing publications from the FCA and other bodies to determine their relevance to the business and its operations. 

  • Maintaining Conflicts, Risk and Breaches registers. 

  • Providing training to the business as and when required. 


The successful candidate must have at least 3 years Compliance Monitoring or Trade Surveillance experience gained with a similar Investment Bank or Securities Trading firm and while a good understating of the MAR regulations is required as important will be your ability to deal with all levels of seniority across the business, able to advise front office staff on Compliance control weaknesses and the necessary remediation required 


As you will see from the above broad spread of duties this is an excellent opportunity for a monitoring or surveillance specialist to broaden their compliance experience and take on other compliance duties, with full cross training from a very experienced manager in a small pleasant team 

So if this sounds of interest, then please send your details to Gary Collins in the first instance (Including a contact number & email) however please note only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 


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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