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- Tasks: Lead compliance efforts in a dynamic financial services firm, ensuring adherence to regulations.
- Company: Join a rapidly growing Corporate Finance and Wealth Management Firm in London.
- Benefits: Enjoy hybrid working, competitive salary, and an excellent bonus package.
- Why this job: Be part of a thriving team, tackling exciting corporate finance challenges and making a real impact.
- Qualifications: 5+ years in Compliance within Corporate Finance/Broking; strong communication and analytical skills required.
- Other info: Opportunity for growth as the business expands; hybrid work model with 3 days in the office.
The predicted salary is between 75000 - 85000 £ per year.
An exciting opportunity for an experienced Compliance Professional to join a rapidly growing financial services firm in the city of London. Hybrid working!!!
Maldon Partners are recruiting a Compliance Manager on a permanent basis for a rapidly growing Corporate Finance and Wealth Management Firm based in the City of London.
The role has been created due to expansion and requires an experienced compliance professional who has a minimum of 5 years Compliance experience in the corporate finance and broking industry (NOT AML/KYC).
The firm also offers Wealth Management and institutional trading and is growing in all areas of the business.
The Role:
Reporting Directly to the CCO, the Compliance Manager will be responsible for helping to ensure that the firm maintains compliance with all applicable rules and regulations.
Responsibilities will include but not be limited to:
- Oversee and manage the Compliance Monitoring Programmes for Wealth and Capital.
- Undertake the 2nd line monitoring/surveillance activities.
- 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.
- Deputise for the Compliance Officer as required.
- 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.
- Manage compliance in complex corporate transactions, including M&A, IPOs, and other corporate finance activities.
- Liaise with regulatory bodies, auditors, and other external stakeholders.
- Assist 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:
- A minimum of 5 years of working in Compliance within the Corporate Finance / Broking Financial Services industry.
- Previous experience of overseeing a Compliance Monitoring Programme.
- Experience in monitoring / surveillance and other generalist tasks (NOT AML/KYC).
- Excellent verbal and written communication skills.
- Competently manage own workload and priorities.
- Be self-motivated and proactive within day-to-day responsibilities.
- Strong analytical skills and attention to detail.
The Compliance Manager role has a base salary of c£75,000 – £85,000 (some flex) depending on experience plus excellent benefits and bonus package.
Hybrid working 3 days in the office is also on offer!
*Please note only candidates who meet the above criteria will be contacted.
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Compliance Manager | London, UK | Hybrid employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager | London, UK | Hybrid
✨Tip Number 1
Make sure to highlight your specific experience in compliance within the corporate finance and broking industry. Tailor your discussions during networking or interviews to showcase how your background aligns with the firm's needs.
✨Tip Number 2
Familiarize yourself with the latest regulations and compliance trends in corporate finance. Being knowledgeable about current issues can help you stand out in conversations with potential employers.
✨Tip Number 3
Network with professionals in the financial services sector, especially those who work in compliance roles. Attend industry events or join relevant online forums to connect with others and learn about job openings.
✨Tip Number 4
Prepare to discuss your experience with compliance monitoring programs in detail. Be ready to provide examples of how you've successfully managed compliance activities and improved processes in previous roles.
We think you need these skills to ace Compliance Manager | London, UK | Hybrid
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within corporate finance and broking. Emphasize your 5+ years of experience and any specific achievements related to compliance monitoring programs.
Craft a Strong Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Clearly outline how your skills and experiences align with the responsibilities mentioned in the job description, especially your ability to manage compliance activities and conduct internal investigations.
Highlight Communication Skills: Since excellent verbal and written communication skills are crucial for this role, provide examples in your application that demonstrate your ability to communicate effectively with regulatory bodies and stakeholders.
Showcase Analytical Skills: Detail your analytical skills and attention to detail in your application. Provide specific examples of how you've identified compliance risks or improved compliance processes in previous roles.
How to prepare for a job interview at Maldon Partners
✨Showcase Your Compliance Experience
Make sure to highlight your 5+ years of experience in compliance, specifically within corporate finance and broking. Be prepared to discuss specific examples of how you've managed compliance monitoring programs and any relevant projects you've led.
✨Demonstrate Analytical Skills
Since the role requires strong analytical skills, be ready to provide examples of how you've identified compliance risks and implemented corrective actions in previous roles. This will show your ability to think critically and proactively.
✨Communicate Clearly
Excellent verbal and written communication skills are essential for this position. Practice articulating your thoughts clearly and concisely, especially when discussing complex compliance issues or regulatory requirements.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving abilities in compliance situations. Think about past experiences where you had to navigate complex transactions or liaise with regulatory bodies, and be ready to discuss your approach.
