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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