A highly reputable Investment Brokerage firm has recently begun their search for a Compliance Team Manager.
The role is to monitor and ensure that the Company's business is conducted in an appropriate manner and in accordance with Financial Services and Markets Act 2000, Financial Conduct Authority Rules and Regulations, Exchange Rules and Company Policy & Procedures and to manage the Company's Monitoring Team.
Your responsibilities will specifically include:
- Review workload of the Compliance Monitoring & Trade Surveillance Team
- Specific monitoring of the Personal Dealing Accounts held with the Company to evidence that any such Personal Account Dealing is conducted in accordance with the relevant Rules and Regulations and Company Policy
- Responsible for producing and submitting written monitoring reports where required to evidence such monitoring
- Carrying out trade surveillance and monitoring for transactions
- Assisting with the on-going design and development of relevant market surveillance reports
- Assisting with written responses market abuse enquiries from the FCA and other national regulatory bodies
- Assist in formulation and submission of SARs
- Responsible for maintenance of FCA Register and FCA Registrations
- Manage a small team of compliance analysts
To be considered for this job, you will have the following experience:
- Minimum 5 years' experience in compliance monitoring, market surveillance, or related surveillance and compliance experience within a FCA regulated firm
- Previous experience within a brokerage, bank or securities industry is preferable
- Knowledge of FCA market conduct rules and market regulations
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes, Financial Crime 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.