Job Description
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.
- 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.
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.
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