At a Glance
- Tasks: Manage compliance activities and monitor market abuse in a dynamic financial services environment.
- Company: A growing player in global financial services with a focus on user-friendly digital offerings.
- Benefits: Competitive salary, potential for permanent role, and flexible working arrangements.
- Other info: Central London office with opportunities for career growth and development.
- Why this job: Join a fast-paced team and make a real impact in compliance and market integrity.
- Qualifications: 5-8 years in compliance, strong understanding of surveillance, and excellent communication skills.
The predicted salary is between 70000 - 80000 £ per year.
About the Business
A new player in the global financial services space, the company focuses on both traditional and digital offerings. With multiple offices worldwide, the business is in a growth phase and offers a high customer experience through a user‑friendly platform.
Role: Compliance Manager (Contract)
The team is seeking a Compliance Manager to support the head of compliance for a 6‑month contract with a view to a permanent role.
Key Responsibilities
- Manage daily market surveillance alerts and electronic communications.
- Calibrate and tailor monitoring systems, design new tests to reduce false positives across trade surveillance and electronic communication systems.
- Produce timely and accurate MI on surveillance activity for senior management and committees on market abuse governance and monitoring framework.
- Support regulatory engagements and inquiries related to the market abuse framework.
- Assist with the annual market abuse risk assessment (MARA) and compliance risk assessment in line with local regulations.
- Detect, investigate, and report suspicious activity, preparing SARs/STRORs.
- 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 compliance monitoring programme, thematic reviews, and regulatory change projects.
- Continuously review policies and procedures geared around market abuse and compliance monitoring.
- Prepare training material and documents for staff members related to market abuse, conduct and financial crime.
- Assist with general compliance and AML activities.
Qualifications
- 5‑8 years’ practical experience in a compliance position.
- Strong understanding of surveillance and compliance.
- Knowledge of foreign exchange/trading/investment banking is a big plus.
- Excellent communication and interpersonal skills.
- Attention to detail and strong organisational skills, with the ability to manage multiple tasks and prioritise effectively.
- Proficiency in using CRM systems, trading platforms, and other relevant software applications.
- Significant knowledge of FCA industry standards, regulations, and anti‑financial crime matters.
Seniority level Mid‑Senior level
Employment type Contract
Location Greater London, England, United Kingdom (Central London office – four days required) with flexibility for proven candidates.
Salary £70k‑£80k, dependent on background, qualifications and experience.
Ideal candidates have a 4‑week notice period, but all qualified applicants are welcome to apply.
Compliance Manager employer: Equifind
Equifind is an exceptional employer that values innovation and collaboration, providing a dynamic work environment for Finance Managers. With competitive daily rates and a strong focus on employee development, team members are encouraged to grow their skills while contributing to impactful projects in the residential development sector. Located in a vibrant area, Equifind offers a supportive culture that fosters open communication and teamwork, making it an ideal place for professionals seeking meaningful and rewarding careers.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of market abuse regulations and compliance frameworks. We recommend creating a cheat sheet of key points to discuss, so you can impress the hiring managers with your expertise.
✨Tip Number 3
Showcase your skills through real-life examples during interviews. Think of specific situations where you've managed compliance challenges or improved processes. This will help you stand out as a candidate who can hit the ground running.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Compliance Manager
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your experience in compliance, market surveillance, and any relevant regulatory knowledge. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your past experiences that relate to the responsibilities listed in the job description.
Showcase Your Attention to Detail:In compliance, attention to detail is key. Make sure your application is free from typos and errors. We appreciate candidates who take the time to present their best work, so double-check everything before hitting send!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Equifind
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of compliance regulations, especially those related to market abuse and anti-financial crime. Familiarise yourself with FCA standards and be ready to discuss how your experience aligns with the company's needs.
✨Showcase Your Analytical Skills
Prepare examples that demonstrate your ability to manage market surveillance alerts and conduct thorough investigations. Be ready to explain how you've calibrated monitoring systems in the past to reduce false positives.
✨Communicate Clearly
Since excellent communication is key for this role, practice articulating your thoughts clearly and concisely. Think about how you can convey complex compliance concepts in a way that's easy to understand for non-experts.
✨Be Ready for Scenario Questions
Expect scenario-based questions where you'll need to demonstrate your problem-solving skills. Prepare to discuss how you would handle suspicious activity or regulatory inquiries, showcasing your critical thinking and decision-making abilities.
