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- Tasks: Lead compliance efforts in a dynamic finance firm, ensuring adherence to regulations.
- Company: Join a rapidly growing Corporate Finance and Wealth Management firm in the heart of London.
- Benefits: Enjoy hybrid working, competitive salary, and an excellent bonus package.
- Why this job: Be part of a vibrant culture focused on growth and compliance excellence.
- Qualifications: 5+ years in Compliance within Corporate Finance; strong communication and analytical skills required.
- Other info: Opportunity to influence compliance processes as the business expands.
The predicted salary is between 60000 - 85000 £ per year.
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. Hybrid working 3 days in the office.
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.
- 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.
Experienced 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.
Salary:
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.
Compliance Manager - Maldon Partners employer: Maldon Partners
Contact Detail:
Maldon Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager - Maldon Partners
✨Tip Number 1
Network with professionals in the corporate finance and broking industry. Attend industry events, webinars, or local meetups to connect with potential colleagues or mentors who can provide insights into the role and possibly refer you.
✨Tip Number 2
Familiarise yourself with the latest compliance regulations and trends specific to corporate finance and wealth management. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 3
Prepare for potential interview questions by reviewing common compliance scenarios related to corporate finance. Think about how you would handle specific compliance challenges and be ready to discuss your past experiences in detail.
✨Tip Number 4
Showcase your analytical skills by preparing examples of how you've identified and mitigated compliance risks in previous roles. Be specific about the outcomes of your actions to highlight your effectiveness as a Compliance Manager.
We think you need these skills to ace Compliance Manager - Maldon Partners
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly within corporate finance and broking. Emphasise your 5+ years of experience and any specific achievements that align with the responsibilities outlined in the job description.
Craft a Compelling Cover Letter: Write a cover letter that directly addresses the key requirements of the Compliance Manager role. Mention your experience with compliance monitoring programmes and your ability to manage compliance in complex corporate transactions. Show enthusiasm for the firm's growth and how you can contribute.
Highlight Relevant Skills: In your application, focus on your analytical skills, attention to detail, and communication abilities. Provide examples of how you've successfully managed compliance risks and conducted internal investigations in previous roles.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Manager.
How to prepare for a job interview at Maldon Partners
✨Know Your Compliance Regulations
Make sure you have a solid understanding of the compliance regulations specific to corporate finance and broking. Brush up on the latest rules and how they apply to the firm's operations, as this will show your expertise and readiness for the role.
✨Demonstrate Your Experience
Prepare to discuss your previous compliance roles in detail, especially those that relate to corporate finance. Highlight specific examples where you've successfully managed compliance monitoring programmes or conducted internal investigations, as this will showcase your relevant experience.
✨Showcase Your Analytical Skills
Since strong analytical skills are crucial for this position, be ready to discuss how you've identified and assessed compliance risks in past roles. Use concrete examples to illustrate your problem-solving abilities and attention to detail.
✨Ask Insightful Questions
Prepare thoughtful questions about the firm's compliance processes and future challenges. This not only shows your interest in the role but also demonstrates your proactive approach to identifying opportunities for improvement within their compliance framework.
