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
About the job
Contract Type: FULL_TIME
Specialism: Banking & Financial Services
Focus: Compliance
Industry: Accountancy
Salary: £35,000 - £45,000 per annum + Negotiable DOE
Workplace Type: On-site
Experience Level: Mid Management
Location: City Of Manchester
FULL_TIMEJob Reference: WSYTBG-9C793BB4
Date posted: 14 May 2025
Consultant: Tom Halsall
northern-west banking-financial-services/compliance 2025-05-14 2025-07-13 accountancy City Of Manchester Greater Manchester GB GBP 35000 45000 45000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png true