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Compliance Executive - Stock Broking

Posted 27 February by NJR Recruitment Easy Apply Ended



Our client is a financial services company offering Private Wealth Management, Wealth Planning and Corporate Broking services. A rare and exciting opportunity is available for a Central Compliance Executive to join the large offices based in the centre of Manchester.

Reporting to the Head of Compliance Monitoring & Operations you will be assisting with the implementation of the firm's compliance policies and procedures, undertaking specified monitoring checks and controls aimed at assisting the firm in maintaining compliance with rules, regulations, legislation and the firms policies.

Daily duties will consist of:

  • Undertake comprehensive daily monitoring checks using specified system reports to ensure that policies are being followed i.e. Staff personal account dealing, Gifts and Hospitality and Transaction Reporting.
  • Assist in maintaining the Compliance Policies and Procedures on the intranet
  • Undertake regular deep dive thematic monitoring reviews into activities such as, trade lifecycles and Corporate Finance engagements and transactions.
  • Review and process all PA Dealing approval requests
  • Investigate, eliminate or escalate alerts received from financial crime risk management system.
  • Assist in investigating breaches and completing the breaches log including mitigating factors.
  • Assist in investigating suspicious behaviour, for example dealing activity reported by staff members, transactions alerted via the trade surveillance system or information requests received from Exchanges or Regulators.
  • Daily review of position balances in accordance with disclosure and transparency rules and the city code on takeovers and mergers
  • Assist with the production of regular Compliance management information including the production of various reports providing findings and recommendations to the business


The successful candidate must have previous experience within a financial Services/Compliance Monitoring environment. You will have excellent use of Microsoft Office products such as Word, Excel & PowerPoint as well as solid communication and articulation skills and the ability to multi-task.

Our client is looking for an enthusiastic, polite, reliable, confident, self-motivated person with a can-do attitude, who has the eagerness and drive to progress.

For more information please contact one of NJR Recruitment's specialist consultants on NJR:7516

Reference: 34568370

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