Compliance Manager - Investment Team

Compliance Manager - Investment Team

  • Location

    London, United Kingdom

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:


  • Contact:

    William Tang

  • Job ref:


  • Published:

    over 1 year ago

  • Expiry date:


A Compliance Consultancy in the City is looking to expand it's capability and looking for a Compliance Manager to assist the Investments team in handling client accounts and providing tailored compliance solutions.


  • Providing compliance advisory services and support to the firm and clients
  • Conduct client file reviews and provide detailed audit reports
  • Making recommendations to the clients of any areas that need addressing
  • Assist the development of compliance policies and procedures
  • Carry out client training and competency site-visits
  • Supervise junior staff and provide technical skills training as required
  • Maintain regulatory compliance policies (including MiFID) and Financial Crime Prevention programmes covering Market Abuse, Conflicts of Interest, Personal Account Dealing, Financial Promotions, and Competence Training


  • Ideally 4+ years' experience in Compliance (regulatory and FCC)
  • Background in financial services, ideally around investments & financial markets (equities, derivatives, CFDs, funds etc) in either a broking/trading capacity
  • Experience dealing directly with clients as well as senior management/stakeholders
  • Relevant academic/professional qualifications (degree and CISI/ICA or equivalent ideal)
  • Excellent written and verbal communications essential 

Type: Permanent, full-time

Salary: £50-60k base, depending on experience

Location: London, City (some travel required)

Please note all applicants must be eligible to work in the UK without sponsorship.