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Prestigious Stockbroker - Compliance Executive

Posted 5 January by Market Talent Ltd Ended

My client is a prestigious city based stockbroking firm working with a range of companies in sectors such as commodities, energy and property. You will be responsible to provide support to the ongoing maintenance and improvements of the compliance aspects of the business.


  • To create and agree with the Group Compliance Officer a risk based internal and external monitoring programme to cover the company.
  • To provide accurate and timely reports to the business after being reviewed by the Group Compliance Officer/ Compliance Manager.
  • To ensure relevant regulatory reporting is collated accurately and sent to the regulator within the appropriate format and prescribed timescales.
  • To provide periodic reports to the Group Compliance Officer as and when requested (e.g. Complaint Trend analysis)
  • Assisting the Group Compliance Officer/Compliance Manager with the production and review of the Group Compliance Manual and related Compliance and Operational Procedures.
  • Review and approve financial promotions.
  • Assisting with projects and general compliance administration and ensuring these are completed to required timescales and standards.
  • To keep up to date with and interpret FCA rules and legislation and anti-money laundering, financial crime and anti-bribery and corruption legislation and data protection legislation relevant to areas of responsibility.
  • Highlight potential compliance risks and ensure that the Group Compliance Officer is aware of such risks.
  • To undertake reasonable work assigned by the Group Compliance Officer.
  • To help with the training and development of staff.
  • Provide compliance and ad-hoc reports.
  • To assist in the development and delivery of a risk based compliance monitoring programme to cover both internal and outsourced activities taking account of compliance, anti-money laundering, financial crime and bribery and corruption legislation and ensure that any necessary remedial action is prompt, effectively and fully taken.
  • To provide the business and Group Compliance Officer with a written report outlining the findings of any review and provide a copy.
  • To assist the Group Compliance Officer instil a practical compliance culture which enhances the companies professional standing and image in the market place.

Required skills

  • Financial Crime
  • Regulations
  • Anti Money Laundering

Reference: 34156012

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