Information:

This job has been filled.

Job Vacancy Details

Compliance Manager

Broker Dealer

London

Permanent ⁄ £50000

Updated September 16, 2008

Your main responsibility will be to manage the London compliance function on a day to day basis. This will include:
• Reviewing and updating the compliance manual as well as reviewing and upgrading systems and procedures that are currently in place.
• Dealing with queries from the brokers.
• Training and leading the account opening team, including AML procedures.
•Provide guidance and advice to the sales department when needed in order to keep the company compliant with FSA rules, TCF and AML policies.

Who we're looking for
The successful candidate will have a proven track record working for a broker dealer/ on-line broker dealer in a broad compliance function. You will either have carried out the CF10 function or worked as a pro-active number 2 to the CF10.

About our client
Our client is a fast growing broker dealer, offering direct access to brokerage on all major financial markets.

What's on offer
Competitive package + potential for promotion and salary increase.

Michael Page Contact
For further info, apply or phone on 020 7645 1466. Job Ref: 13005711
Your application will be sent to Elizabeth Slaughter.