Compliance, Financial Crime and Risk

Regulatory recruitment experts

QUICK job search

Filter available jobs by your specialism

Salary: £60 - £70K - London

This role sits within the Compliance team and provides assurance to the business on its systems and controls, particularly in respect of market abuse.


Duties and responsibilities


  • Establish and maintain the following to ensure that regulatory requirements are adhered to including FCA rules, Rules of the LSE, Takeover Panel rules etc and has appropriate systems and controls:
    • Compliance Manual
    • Compliance Policies
    • Compliance Procedures


Compliance Training:

  • Arrange appropriate training for employees to ensure that they are aware of their responsibilities in relation to the Compliance Manual and Compliance Policies (including induction of new employees and ad hoc training)


Horizon Scanning:

  • Monitor and assess the impact of regulatory and legislative developments impacting business areas, disseminate to team and advise the Head of Compliance and the Compliance team on potential responses
  • Review regulatory consultation papers and respond as agreed by the Board


Breaches and Complaints:

  • Undertake breach investigation and escalate findings
  • Assist with the management of client complaints in accordance with DISP and undertake investigations in relation to such complaints and escalate findings
  • Assist with the route cause analysis of breaches and complaints and propose remedial action including arranging appropriate training
  • Contribute to responses to s165 requests as required
  • Any other duties as required from time to time.



Experience Required

  • Minimum 3 years of compliance experience within the investment banking / broking sector
  • Proven Compliance experience


Qualifications Required

  • Educated to degree level
  • Relevant CISI level 3 qualification or equivalent


Skills Required

  • Good understanding of Corporate Finance, Corporate Broking and Trading
  • Knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR etc
  • Knowledge of associated statutory legislation including UK Money Laundering Regulations, Bribery Act
  • Excellent verbal and interpersonal communication skills
  • Excellent written English
  • Accuracy and attention to detail
  • Strong analytical skills
  • Strong IT skills including Intermediate MS Office skills: Outlook, Work, Excel, Powerpoint
  • Highly organised
  • Strong team player
  • Confident, professional and reliable
  • Able to work under pressure and multi-task


For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

Apply for this job
Please do not enter anything in this box
Personal Focused Transparent
powered by blue spark*