- Senior compliance
- 6 Month contract
- Investment management
Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.There is an excellent opportunity for a Senior Compliance officer to join their team, this role is based in Kent and operates on hybrid model. This is 6 month contract role.This role will report directly to the head of complianceKey Responsibilities include.
- Supporting the head of compliance with implementation of compliance and regulatory rules
- Ensuring the firm meets all regulatory requirements and or conduct risks
- Quality reporting that is clear and conclusive of assurance activities
- Preparing regulatory changes and ad hoc compliance changes
- Log receipts of the FCA notice and good practice guidance
- Assist in the preparation of regulatory submission
- Actively maintain and update technical regulatory knowledge
The ideal candidate will have.
- Proven experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
- Proven experience in compliance and risk management
- Risk and control procedures
- Excellent written and verbal communication skills
- Proven experience to mentor and manager junior members of staff
Please be advised there is no sponsorship available for this role.They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well.