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- Tasks: Lead compliance monitoring and ensure adherence to regulations in corporate broking activities.
- Company: Join a top UK wealth management firm dedicated to exceptional client service.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth and development.
- Why this job: Be at the forefront of corporate finance, making a real impact in compliance and risk management.
- Qualifications: Strong background in Corporate Finance & Broking with excellent communication skills required.
- Other info: Opportunity to work closely with senior management and regulatory bodies.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: Our client is a successful UK-based wealth management firm, focused on providing top-quality wealth management services to retail and professional clients.
THE RESPONSIBILITIES:
- Manage the Compliance Monitoring Programmes to ensure business activities comply with internal policies and regulatory requirements.
- Undertake the 2nd line monitoring/surveillance activities in accordance with the Compliance Monitoring Programme for the Business.
- Lead and manage compliance activities related to corporate broking, finance, research, and capital markets activities, including but not limited to M&A advisory, IPOs, equity and debt transactions, and other corporate finance services.
- Identify and assess compliance risks in corporate broking and finance operations, including transaction structuring, client engagements, and market behaviour.
- Conduct internal investigations related to compliance issues and recommend corrective actions where necessary.
- Proven track record in managing compliance in complex corporate transactions, including M&A, IPOs, and other corporate finance activities.
- Liaise with regulatory bodies, auditors, and other external stakeholders to ensure that the company is meeting all legal and regulatory obligations as needed.
- Assisting with maintaining compliance manuals, policies, and procedures.
- Undertake any ad hoc compliance tasks as required.
- Identify opportunities to improve compliance processes as the business grows.
EXPERIENCE REQUIRED:
- Evidence a strong background of working within the Corporate Finance & Broking Financial Services industry.
- Embrace continuous improvement and maintain up-to-date knowledge of the industry and regulations.
- Maintain knowledge of the business governance structure, operating models, and risk requirements.
- Be approachable and able to build strong working relationships, in particular with the Compliance Team and Senior Management.
- Have fantastic verbal and written communication skills, together with the ability to present information in an engaging manner.
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Compliance Manager (Corporate Broking) employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (Corporate Broking)
✨Tip Number 1
Familiarize yourself with the latest regulations and compliance standards in the corporate finance sector. This knowledge will not only help you during interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the corporate broking and finance industry. Attend relevant events or webinars where you can meet potential colleagues and learn more about the company culture, which can give you an edge in your application.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles, especially related to M&A and IPOs. Being able to share real-life examples will showcase your expertise and problem-solving skills.
✨Tip Number 4
Highlight your ability to build strong relationships with stakeholders. Think of examples where you've successfully collaborated with teams or external parties, as this is crucial for the Compliance Manager role.
We think you need these skills to ace Compliance Manager (Corporate Broking)
Some tips for your application 🫡
Understand the Role: Make sure you fully understand the responsibilities of a Compliance Manager in Corporate Broking. Tailor your application to highlight your relevant experience in compliance monitoring, corporate finance, and regulatory requirements.
Highlight Relevant Experience: In your CV and cover letter, emphasize your background in Corporate Finance & Broking Financial Services. Provide specific examples of your experience with M&A, IPOs, and compliance management to demonstrate your expertise.
Showcase Communication Skills: Since fantastic verbal and written communication skills are essential for this role, ensure that your application is well-written and free of errors. Use clear and engaging language to present your qualifications and experiences.
Demonstrate Continuous Improvement: Mention any initiatives you've taken to stay updated on industry regulations and best practices. This shows your commitment to continuous improvement and your proactive approach to compliance.
How to prepare for a job interview at Compliance Professionals
✨Know Your Compliance Regulations
Make sure you are well-versed in the latest compliance regulations relevant to corporate broking and finance. Being able to discuss specific regulations and how they impact business operations will demonstrate your expertise and preparedness.
✨Showcase Your Experience
Prepare to share specific examples from your past experiences managing compliance in complex corporate transactions like M&As or IPOs. Highlighting your proven track record will help build credibility with the interviewers.
✨Demonstrate Strong Communication Skills
Since the role requires fantastic verbal and written communication skills, practice articulating your thoughts clearly and concisely. Be ready to present information engagingly, as this will be crucial in liaising with regulatory bodies and senior management.
✨Emphasize Continuous Improvement
Discuss your commitment to continuous improvement and staying updated on industry trends and regulations. Show that you are proactive in identifying opportunities to enhance compliance processes as the business evolves.
