Compliance Officer - Stocks & Investment

Compliance Officer – Stocks & Investment Location: Manchester City Centre (Office-based) Salary: £35,000 – £45,000 per annum (Negotiable, depending on experience) Contract Type: Permanent, Full time Benefits: 23 days annual leave + Bank Holidays

About the Company

A well-respected and long-established broker based in Manchester is currently undergoing an exciting phase of transformation. As part of this growth, the firm is seeking a qualified Compliance Officer to strengthen its team and ensure continued adherence to regulatory standards.

Role Overview

The Compliance Officer will play a vital role in overseeing regulatory compliance related to cash management and stock custody, while maintaining effective communication with regulatory bodies and stakeholders.

Key Responsibilities

• Collaborate with the accountant to ensure cash compliance standards are met
• Work closely with team members responsible for custody and handling of stocks
• Liaise with external regulators, auditors, and the Financial Conduct Authority (FCA)

Candidate Profile

Qualifications & Experience:

• Ideally holds a Diploma in Investment Compliance
• Background in wealth management, financial advisory, or investments

Skills & Attributes:

• Strong interpersonal and communication skills
• Detail-oriented with a solid understanding of compliance best practices

If you’re interested in the following job opportunity apply online today!

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates