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Compliance Manager - Wealth and Stockbroking - London, United Kingdom,


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.