Compliance Manager

Job type:
Start date:
6 Months
Real Staffing
City of London
Published at:
flag_no United Kingdom
Project ID:

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Compliance Manager

Temp -Perm

£60,000 - £90,000 per annum DOE

City ofLondon

A City based brokerage with a large presence in theUSAis looking for a compliance manager to work alongside their CF10/CF11 and legal council. The firm focuses primarily around fixed income with a specialism around Distressed and Corporate Debt.

You will have strong Compliance/Transaction Monitoring skills as this is a large part of the role

As a point of contact for traders and members of the sales team you will have a good understanding of settlement, KYC/AML and on boarding regulations and procedures for EU and Non-EU regions.

The Compliance Manager must be able to exercise a certain level of authority, being as direct as possible

Being a smaller brokerage new ideas and resolutions to enhance the business will be an area of instinct rather than duty

You will have experience dealing with outsourced companies

You should have a good grasp of FCA handbooks and be able to advise the business on regulatory developments and procedures in line with the business

Recent experience working within a brokerage or brokerage environment is preferable.

This role gives you the opportunity to progress your career and take position to CF10/CF11 in the near future should you be the right fit.

If you are interested in this role please reply with your CV or contact me directly, Pritesh Chudasama on

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