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Assistant Compliance Manager (Regulatory Policy)

Assistant Compliance Manager (Regulatory Policy)

Department: Compliance - Regulatory Policy & Services

Day Rate: £350 - £400 a day Length: 3 months

Leading international bank are looking to hire an Assistant Compliance Manager to work in their Regulatory Policy and Services department. The candidate will provide regulatory services across the Banks Capital Markets, Wealth Management, Global Asset Management and Investor & Treasury Services London platforms.

Key Responsibilities:

  • Processing and providing advice on core employee conflicts management tasks
  • Compiling and contributing to reporting on employee conduct
  • Supporting the tracking and submission of UK/US regulatory filings and notifications on the FCA's Gabriel system and FINRA systems
  • Supporting FCA/PRA & SEC Approved Persons registrations, de-registrations, associated training and competence documentation and Connect/FINRA filings


Previous experience working with:

- Employee conflicts management systems, processes and policies
- Regulatory reporting
- General regulation and compliance matters

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call me now.
If this job isn't quite right for you but you are looking for a new position, please contact me for a confidential discussion on your career.


Job Type:
Banking & Financial Services
Banking and Capital Markets
Between £300- £400 per day
Apply Now

Talk to a Consultant

Talk to Sharaz Younas, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 0203 465 0148
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