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- Tasks: Manage compliance tasks, including market surveillance and client onboarding.
- Company: Exciting investment firm in London with a focus on innovation.
- Benefits: Competitive salary, flexible work arrangements, and potential for permanent position.
- Why this job: Join a dynamic team and make a real impact in the financial services sector.
- Qualifications: 5-8 years in compliance, strong communication skills, and attention to detail.
- Other info: Opportunity for career growth in a collaborative global environment.
The predicted salary is between 52000 - 60000 £ per year.
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.
Key responsibilities
- 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.
Experience & qualifications
- 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.
Compensation and location
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.
About the business
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.
Employment type and seniority
Contract (6 months with view to permanent). Seniority level: Mid-Senior level. Job function: Finance. Industry: Investment Banking and Financial Services.
Compliance Manager in London employer: Equifind
Contact Detail:
Equifind Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Familiarise yourself with their market abuse governance and monitoring frameworks. This will show that you’re genuinely interested and ready to hit the ground running.
✨Tip Number 3
Practice your responses to common compliance interview questions. Think about your experience with KYC/CDD/EDD reviews and how you’ve handled suspicious activity in the past. Being articulate about your skills can really set you apart!
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, it’s a great way to ensure your application gets seen by the right people.
We think you need these skills to ace Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your relevant experience in compliance, surveillance, and financial crime monitoring. 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 work 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 selves!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates from us!
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 financial crime. Familiarise yourself with FCA standards and be ready to discuss how you've applied this knowledge in previous roles.
✨Showcase Your Analytical Skills
Since the role involves managing market surveillance alerts and monitoring systems, prepare examples that demonstrate your analytical skills. Think about times when you've calibrated monitoring systems or reduced false positives, and be ready to share these experiences.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Practice articulating how you would handle suspicious activity or regulatory inquiries, as this will show your practical understanding of the role.
✨Communicate Clearly and Confidently
Strong communication is key in compliance roles. During the interview, focus on articulating your thoughts clearly and confidently. Use specific examples to illustrate your points, and don’t hesitate to ask clarifying questions if needed.
