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Compliance Advisor, Asset / Wealth Management, Brokerage

Job Title: Compliance Advisor, Asset / Wealth Management, Brokerage
Contract Type: Permanent
Location: London
Industry: financial services
Salary: £55000 per annum
REF: BBBH14888_1491932459
Contact Name: Tom Warren
Job Published: 15 days ago

Job Description

Twenty Recruitment are working with a highly regarded and well-known institution which offers a variety of business lines & services to a client base spanning both Private & Institutional Investors.

You will position yourself as a Compliance Advisor to both the Fixed Income business and the Private Investor Stock Broking business, working closely with the CF10 & CF11 in tight-knit, collegiate environment.

Given this firm's market leading presence, you will benefit from unrivalled opportunities to develop your Compliance career.

Specifically, your responsibilities will include:

  • Providing compliance advisory support, including assisting in the management of product/rule submissions to regulatory authorities
  • Providing compliance support for the implementation of regulation, with an initial focus on MiFID II
  • Provide advice on the rule books for market participants.
  • Compliance Risk Assessment and monitoring plans, executing reviews and subsequently developing appropriate policies and procedures
  • Liaising directly with the regulator

Experience required for this opportunity will include:

  • Market and product knowledge around fixed income trading
  • Familiarity with the FCA Handbook;
  • Experience in analysing and understanding financial services regulations, ideally with exposure to MiFID

If you feel you have the relevant experience for this newly created opportunity then please apply to have your CV sent to Tom Warren, Senior Compliance Recruitment Consultant, at Twenty Recruitment.

Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.