Compliance Manager - Wealth and Stockbroking
Our client, a leading fintech and financial services company has an immediate opening for a Compliance Manager to join the business. The Compliance Manager will be responsible for leading the compliance function of a wealth and trading/stockbroking business.
The Compliance Managers responsibilities will include;
- Supporting the product team to ensure that products deliver good customer outcomes and meet regulatory requirements
- Ensuring risk management processes for wealth and trading are robust
- Liaising with key internal and external stakeholders including FCA
- Oversight and monitoring of 3rd party providers
- Development and implementation of policies and procedures
- Horizon scanning
The successful applicant will demonstrate;
- Prior experience of holding a Controlled Function position (CF10/CF11)
- Excellent conduct risk management experience
- A strong working knowledge of stockbroking, with strong operational knowledge of securities trading from pre-trade to post-trade and the regulatory requirements
If you wish to learn more about this position and you demonstrate the required skills and experience, then please apply now.
- Wealth Management
- Conduct Risk
- Compliance Manager
- 3rd party oversight
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