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My client focuses on private banking, investment banking, asset management, and corporate banking, catering to high-net-worth individuals, institutions, and corporate clients.
They are well-known for its strong expertise in equity research, trading, and corporate finance.
They are looking for a compliance generalist to join the team.
Role:
- Manage compliance initiatives, delivering regular updates and reports to key stakeholders, while collaborating with internal departments such as IT, Legal, and Data Protection.
- Prepare and submit comprehensive compliance-related management reports.
- Conduct compliance monitoring activities and trade surveillance, including investigations, as part of the firm’s oversight programme, while contributing to its ongoing development.
- Support the implementation and continuous revision of policies and procedures to ensure regulatory compliance.
- Provide compliance guidance to the London office, coordinating with the broader compliance team to oversee adherence to senior management regulations and maintain regulatory directories.
- Act as a communication bridge between business units and technology teams, ensuring effective and clear collaboration across departments.
Experience:
- 3-5 years’ experience in a financial services Compliance role.
- Knowledge of UK and European securities regulations (MiFID II).
- Project management experience, ideally with system implementation.
- Strong communication, analytical, and strategic thinking skills.
- Ability to work independently and within a cross-border team.
- Comfortable in a fast-paced environment with strong prioritization skills.
- Organised, self-motivated, and flexible.
- Degree educated (or equivalent), with excellent presentation skills.
Salary £90,000 – £95,000
Location central London 5 days a week in the office.
Please contact me with your CV for a full JD ne@barclaysimpson.com
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
