Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.
There is an excellent opportunity for a Senior Compliance officer to join their team, this role is based in Kent and operates on hybrid model. This is 6 month contract role.
This role will report directly to the head of compliance
Key Responsibilities include.
* the head of compliance with implementation of compliance and regulatory rules
* the firm meets all regulatory requirements and or conduct risks
* reporting that is clear and conclusive of assurance activities
* regulatory changes and ad hoc compliance changes
* receipts of the FCA notice and good practice guidance
* in the preparation of regulatory submission
* maintain and update technical regulatory knowledge#
The ideal candidate will have.
* experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
* experience in compliance and risk management
* and control procedures
* written and verbal communication skills
* experience to mentor and manager junior members of staff
Please be advised there is no sponsorship available for this role.
They are looking for a candidate who is analytic, flexible, great at planning and organising they will also have great people management skills and can manage information well.