Compliance Manager (Corporate Broking)

Job title: Compliance Manager (Corporate Broking)

Company: Compliance Professionals


Job description: THE COMPANY:Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients.THE RESPONSIBILITIES:

• Manage the Compliance Monitoring Programmes to ensure business activities comply with internal policies and regulatory requirements.
• Undertake the 2nd line monitoring/surveillance activities in accordance with the Compliance Monitoring Programme for the Business.
• Lead and manage compliance activities related to corporate broking, finance, research, and capital markets activities, including but not limited to M&A advisory, IPOs, equity and debt transactions, and other corporate finance services.
• Identify and assess compliance risks in corporate broking and finance operations, including transaction structuring, client engagements, and market behaviour.
• Conduct internal investigations related to compliance issues and recommend corrective actions where necessary.
• Proven track record in managing compliance in complex corporate transactions, including M&A, IPOs, and other corporate finance activities.
• Liaise with regulatory bodies, auditors, and other external stakeholders to ensure that the company is meeting all legal and regulatory obligations as needed.
• Assisting with maintaining compliance manuals, policies, and procedures.
• Undertake any ad hoc compliance tasks as required.
• Identify opportunities to improve compliance processes as the business grows.

EXPERIENCE REQUIRED:

• Evidence a strong background of working within the Corporate Finance & Broking Financial Services industry.
• Embrace continuous improvement and maintain up-to-date knowledge of the industry and regulations.
• Maintain knowledge of the business governance structure, operating models, and risk requirements.
• Be approachable and able to build strong working relationships, in particular with the Compliance Team and Senior Management.
• Have fantastic verbal and written communication skills, together with the ability to present information in an engaging manner.

For further information please contact Hannah TabatabaiAbout this roleLocation:LondonSpecialism:Salary:Up to £70kType:Reference:19102

Expected salary: £70000 per year

Location: London

Job date: Sat, 22 Feb 2025 04:57:10 GMT

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