Compliance Monitoring Manager

• Regulatory compliance
• Retail Investment
• Stockbroking

Meraki Talent are currently working with an Investment Management company with a strong stock brokering background.
There is an excellent opportunity for a Compliance Monitoring Manager to join their team, this role is based in Kent and operates on hybrid model. This is permanent role.
This role will report directly to the head of compliance & MLRO
Key Responsibilities include.

• Internal documentation and staff interviews to ensure the firm is not exposed to risks
• Ensuring the firm meets all regulatory requirements and or conduct risks
• Quality reporting that is clear and conclusive of assurance activities
• Observe and advise head of compliance on findings on monitoring activity
• Lead and manage a junior Compliance Monitoring Analyst
• Support the head of compliance with the implementation of compliance policies and regulator rules
• Preparing regulatory changes and ad hoc compliance changes

The ideal candidate will have.

• Proven experience working within compliance for a financial services institution with a good experience FCA & regulations governing investment/ stockbroking business
• Good knowledge of AML/ Audit process
• The ability to interpret financial regulation and regulatory requirements as asses operational compliance with financial crime risk
• Good attention to detail
• The ability to manage own workload with minimal supervision

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.