Compliance Manager

Role summary

Equifind have teamed up with an exciting investment firm in London, who are looking to add a compliance manager to the team for the next 6 months with a view to going permanent after.

The role is a blended position supporting the head of compliance, with onboarding, financial crime monitoring and trade surveillance. It is a hands-on, broad role designed for someone to get involved across the compliance function.

Key responsibilities

• Manage the review and actioning of daily market surveillance alerts and electronic communications
• Calibrate/tailor monitoring systems and design new tests to ensure alerts are generated optimally and reduce false positives across trade surveillance and electronic communication systems
• Produce timely and accurate management information on surveillance activity for senior management and committees on market abuse governance and monitoring framework
• Support regulatory engagements and other inquiries relating to the organisation’s market abuse and monitoring frameworks
• Assist with the annual market abuse risk assessment (MARA) and compliance risk assessment in line with local regulations
• Assist with the detection, investigation, and reporting of suspicious activity, including preparation of SARs/STRs
• Perform KYC/CDD/EDD reviews on institutional and high-net-worth clients, including risk assessments for complex structures
• Review and approve client onboarding and continuation decisions, including EDD cases
• Assist with the compliance monitoring programme, thematic reviews, and regulatory change projects
• Continual review of policies and procedures relating to market abuse and compliance monitoring
• Prepare training material and documents for staff relating to market abuse, conduct and financial crime
• Assist with general compliance and AML activities

Experience & qualifications

• 5-8 years’ practical experience in a compliance position
• Strong understanding of surveillance and compliance
• Knowledge of foreign exchange/trading/investment banking would be a plus
• Excellent communication and interpersonal skills
• Attention to detail and strong organizational skills, with the ability to manage multiple tasks and priorities
• Proficiency in using CRM systems, trading platforms, and other relevant software applications
• Significant knowledge of FCA industry standards, regulations, and anti-financial crime matters

Compensation and location

Salary range: £65k-£75k, depending on background, qualifications, and experience. Mostly office-based with four days in central London; flexible arrangements may be available for proven performers.

About the business

A new player in the global financial services space with a focus on both traditional and digital offerings. The company has an experienced management team with a proven track record in the brokerage sector, a strong focus on technology, and a user-friendly platform aimed at delivering a high customer experience. The business operates across multiple offices globally, with regular collaboration across stakeholders.

You will support the group head of compliance with surveillance duties and broader compliance requirements.

Employment type and seniority

• Contract (6 months with view to permanent)
• Seniority level: Mid-Senior level
• Job function: Finance
• Industry: Investment Banking and Financial Services

Note: This role is aligned with Equifind’s client and recruitment context. Referrals information and additional roles are not included here.

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