Our client, a global financial group, is currently looking for a Compliance Manager to join its London office. The firm offers a wide range of custom services to its renowned clients, spanning across banking, investment management and securities.
The successful candidate will report into the Head of Compliance.
The successful Compliance Manager will focus on the firm’s brokerage business, which covers cash equities, foreign exchange, fixed income and exchange traded derivatives.
Responsibilities will include, but are not limited to:
Deliver the CMP (Compliance Monitoring Programme) with its monitoring check
Undertake core compliance activities
Draft and update compliance policies, manuals and procedures
Produce MI for committee meetings, including Compliance
Identify, interpret and track regulatory changes and advise on their impact on the business
Assist on projects to implement new regulations
Deliver compliance training to members of staff
Provide assistance to the Head of Compliance as required
Experience in a similar compliance role, preferably within the regulated wholesale broker industry space
Strong knowledge of UK and European regulation
Experience working with the FCA Handbook, MIFID/MiFIR
Salary: £50K-£65K depending on experience
For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 0207 183 0070
Reference code: ABC11280
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.