Senior Regulatory Compliance Manager – Stockbroking

A Senior Regulatory Compliance Manager is required by a leading stockbroker to head up a team that provides timely and accurate challenge and oversight on all current and upstream Regulatory Compliance risks, and on scope and content for compliance policies and training (including complaints handling, breach management and Subject Access Requests). The role is based in Birmingham but there is the possibility to work a day or two per week in London.

Heading up a small team, your main responsibilities will include:

  • Working closely with the Head of Regulatory Compliance in planning engagement strategy and activity across the firm
  • Providing quality assurance oversight for Analysts when undergoing reviews, constructively challenging the robustness of methods and findings
  • Liaising with stakeholders on review findings and agreeing practical recommendations
  • Identifying and investigating any current or future potential compliance risks and escalating where necessary
  • Mentoring of Analysts within the team, acting as first port of call for coaching, ideas and queries
  • Assisting the business as and when required on compliance related queries, by providing advice and guidance, outlining options and recommending solutions as appropriate
  • Assisting in the review and update of department procedures and driving system and process improvements

You will be an experienced Compliance professional with strong experience in stockbroking regulatory compliance (excluding AML). You will be seen as a Subject Matter Expert in this field, and have a particularly good working knowledge and understanding of suitability and appropriateness, CASS, PRIIPs, complaints handling and breach reporting and monitoring. You will also have excellent leadership qualities with an aptitude for training and developing others. Exceptional communication and stakeholder management skills are a prerequisite for the role.


Salary:£Excellent - to attract the best


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