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Senior Compliance Officer

Posted 18 April by Meraki Talent Limited
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Salary icon £50,000 - £60,000 per annum
Location icon London , South East England

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  • Senior compliance
  • 6 Month contract
  • Investment management
Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.

There is an excellent opportunity for a Senior Compliance officer to join their team, this role is based in Kent and operates on hybrid model. This is 6 month contract role.

This role will report directly to the head of compliance
Key Responsibilities include.
  • Supporting the head of compliance with implementation of compliance and regulatory rules
  • Ensuring the firm meets all regulatory requirements and or conduct risks
  • Quality reporting that is clear and conclusive of assurance activities
  • Preparing regulatory changes and ad hoc compliance changes
  • Log receipts of the FCA notice and good practice guidance
  • Assist in the preparation of regulatory submission
  • Actively maintain and update technical regulatory knowledge
The ideal candidate will have.
  • Proven experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
  • Proven experience in compliance and risk management
  • Risk and control procedures
  • Excellent written and verbal communication skills
  • Proven experience to mentor and manager junior members of staff
Please be advised there is no sponsorship available for this role.

They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well.

Reference: 52501544

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