Investment Compliance Manager Investment Compliance Manager …

JCW Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
JCW Search
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Competitive
Investment Compliance Manager

A Compliance Consultancy in the City is looking to expand it's capability and looking for a Compliance Manager to assist the Investments team in handling client accounts and providing tailored compliance solutions.

Role:
  • Provide compliance advisory services and support to the firm and clients
  • Conduct client file reviews and provide detailed reports
  • Making recommendations to the clients
  • Assist the development of compliance policies and procedures
  • Carry out client training and competency site-visits
  • Supervise junior staff and provide technical skills training as required
  • Maintain regulatory compliance policies (including MiFID) and Financial Crime Prevention programmes covering Market Abuse, Conflicts of Interest, Personal Account Dealing, Financial Promotions, and Competence Training

Requirements:
  • Ideally 4+ years' experience in Compliance (both regulatory and financial crime ideal)
  • Background in financial services, ideally around investments & financial markets (equities, derivatives, CFDs, funds etc) in either a broking/trading capacity
  • Experience dealing directly with clients as well as senior management/stakeholders
  • Relevant academic/profressional qualifications (degree and CISI/ICA or equivalent ideal)
  • Excellent written and verbal communications essential

Type: Permanent, full-time

Salary: £50-60k base, depending on experience

Location: London, City (some travel required)

Please note all applicants must be eligible to work in the UK without sponsorship.
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