Regulatory Compliance Manager
Consultant Kayte Short
Date posted 12 April 20192019-04-12 2019-05-12 financial-services Birmingham West Midlands GB GBP 300 300 300 DAY Robert Walters https://www.robertwalters.co.uk
An excellent opportunity is available with a most respected financial services business based in Birmingham City Centre who require an Assistant Compliance Manager on a 12 month contract initially to cover maternity leave.
THis role is the second line of defence function providing compliance oversight and challenge, as well as reporting, support and advice to the firm in relation to its front and back office functions.
- Establishing policies and training to address the internal and external regulatory rules and requirements relating to the firm.
- Oversee the activities of the compliance analyst to ensure the firm maintains effective systems and controls for compliance with applicable regulatory requirements.
- Deal with day to day queries relating to FCA conduct of business rules
Candidates should have excellent regulatory compliance experience, knowledge of CASS rules and market abuse. Candidates should have experience gained from within either an investment management or stockbroking firm. Additionally you will have one direct report, a Compliance Administrator.
This is an excellent contract opportunity, please apply now of for further information contact Kayte Short at Robert Walters at email@example.com