Compliance Manager / Officer

An exciting new opportunity has arisen for an experienced compliance officer for a busy investment brokerage in the heart of Norwich.

Working alongside the board of directors, you will be responsible for all aspects of compliance and risk mitigation within the business including:

- Compliance process building
- 6 monthly risk reporting
- NBR Update/Reporting
- File checking
- Complaint handling
- FCA reviews
- AML rules

You must have a thorough understanding of the FCA handbook, relevant COB's and all aspects of compliance surrounding investment and processes for investments aimed at High Net Worth, Sophisticated and Retail/Restricted investors.

You will be supported by their regulatory lawyer on approval of new processes as and when required.

If you have a proven compliance background and are looking for an exciting new challenge in an entrepreneurial "break the mould" company then please apply with cv and cover letter in the first instance.

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