Description
Compliance ManagerPermanent
£60,000 - £80,000 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.
If you are interested in this role
To find out more about Real, please visit us on www.realstaffing.co.uk