Compliance Manager, Finance & Banking

Role summary

Equifind have teamed up with an exciting investment firm in London, who are looking to add a compliance manager to the team for the next 6 months with a view to going permanent after.

The role is a blended position supporting the head of compliance, with onboarding, financial crime monitoring and trade surveillance. It is a hands-on, broad role designed for someone to get involved across the compliance function.

• Manage the review and actioning of daily market surveillance alerts and electronic communications
• Calibrate/tailor monitoring systems and design new tests to ensure alerts are generated optimally and reduce false positives across trade surveillance and electronic communication systems
• Produce timely and accurate management information on surveillance activity for senior management and committees on market abuse governance and monitoring framework
• Support regulatory engagements and other inquiries relating to the organisation’s market abuse and monitoring frameworks
• Assist with the annual market abuse risk assessment (MARA) and compliance risk assessment in line with local regulations
• Assist with the detection, investigation, and reporting of suspicious activity, including preparation of SARs/STRs
• Perform KYC/CDD/EDD reviews on institutional and high-net-worth clients, including risk assessments for complex structures
• Review and approve client onboarding and continuation decisions, including EDD cases
• Assist with the compliance monitoring programme, thematic reviews, and regulatory change projects
• Continual review of policies and procedures relating to market abuse and compliance monitoring
• Prepare training material and documents for staff relating to market abuse, conduct and financial crime
• Assist with general compliance and AML activities

• 5-8 years’ practical experience in a compliance position
• Strong understanding of surveillance and compliance
• Knowledge of foreign exchange/trading/investment banking would be a plus
• Excellent communication and interpersonal skills
• Attention to detail and strong organizational skills, with the ability to manage multiple tasks and priorities
• Proficiency in using CRM systems, trading platforms, and other relevant software applications
• Significant knowledge of FCA industry standards, regulations, and anti-financial crime matters

Salary range: £65k-£75k, depending on background, qualifications, and experience. Mostly office-based with four days in central London; flexible arrangements may be available for proven performers.

A new player in the global financial services space with a focus on both traditional and digital offerings. The company has an experienced management team with a proven track record in the brokerage sector, a strong focus on technology, and a user-friendly platform aimed at delivering a high customer experience. The business operates across multiple offices globally, with regular collaboration across stakeholders.

You will support the group head of compliance with surveillance duties and broader compliance requirements.

• Contract (6 months with view to permanent)
• Seniority level:
  Mid-Senior level
• Job function:
  Finance
• Industry: Investment Banking and Financial Services

Note:

This role is aligned with Equifind’s client and recruitment context. Referrals information and additional roles are not included here.