Compliance Officer - Stocks & Investment
Posted 1 day ago by Robert Walters
£45,000 Per year
Undetermined
Onsite
Manchester, England, United Kingdom
Summary: The Compliance Officer for Stocks & Investment will be responsible for ensuring regulatory compliance related to cash management and stock custody within a well-established broker in Manchester. This role involves collaboration with various stakeholders, including accountants and external regulators, to maintain adherence to compliance standards. The position is office-based and offers a permanent, full-time contract. The ideal candidate will possess relevant qualifications and experience in investment compliance and wealth management.
Key Responsibilities:
- Collaborate with the accountant to ensure cash compliance standards are met
- Work closely with team members responsible for custody and handling of stocks
- Liaise with external regulators, auditors, and the Financial Conduct Authority (FCA)
Key Skills:
- Ideally holds a Diploma in Investment Compliance
- Background in wealth management, financial advisory, or investments
- Strong interpersonal and communication skills
- Detail-oriented with a solid understanding of compliance best practices
Salary (Rate): £45,000 yearly
City: Manchester
Country: United Kingdom
Working Arrangements: on-site
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Compliance Officer – Stocks & Investment
Location: Manchester City Centre (Office-based)
Salary: £35,000 – £45,000 per annum (Negotiable, depending on experience)
Contract Type: Permanent, Full time
Benefits: 23 days annual leave + Bank Holidays
About The Company
A well-respected and long-established broker based in Manchester is currently undergoing an exciting phase of transformation. As part of this growth, the firm is seeking a qualified Compliance Officer to strengthen its team and ensure continued adherence to regulatory standards.
Role Overview
The Compliance Officer will play a vital role in overseeing regulatory compliance related to cash management and stock custody, while maintaining effective communication with regulatory bodies and stakeholders.
Key Responsibilities
- Collaborate with the accountant to ensure cash compliance standards are met
- Work closely with team members responsible for custody and handling of stocks
- Liaise with external regulators, auditors, and the Financial Conduct Authority (FCA)
Candidate Profile
Qualifications & Experience
- Ideally holds a Diploma in Investment Compliance
- Background in wealth management, financial advisory, or investments
Skills & Attributes
- Strong interpersonal and communication skills
- Detail-oriented with a solid understanding of compliance best practices
If you’re interested in the following job opportunity apply online today!
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates