Investment Compliance Manager

Investment Compliance Manager

  • Location

    Birmingham, West Midlands

  • Sector:

    Accounting and Finance

  • Job type:


  • Salary:

    £40000.00 - £45000 per annum

  • Contact:

    Jess Brannigan

  • Contact email:


  • Job ref:


  • Published:

    11 months ago

  • Expiry date:


  • Startdate:


  • Consultant:


Are you a Regulatory Compliance Specialist from a banking/ wealth management back ground? Do you want to work for an organisation where you will have more influence and ability to make an impact?

We are recruiting for a Compliance Assistant Manager to join an established private bank based in the heart of Birmingham City Centre. This is a permanent position with a competitive salary, reporting directly into the Head of Regulatory Compliance. Ideally you will be an expert in Financial Conduct Authority (FCA) regulations, with working knowledge of the Conduct of Business Sourcebook (COBS), Client Asset Sourcebook (CASS) and MAR (Market Abuse Regulation).

You will be responsible for:

  • Assisting with the implementation of compliance policies and regulations ensuring adequate internal controls are in place
  • Dealing with queries relating to the FCA rulebook and compliance manual
  • Undertaking Compliance Monitoring Reviews of reports
  • Assist with the preparation of plans and monitor breaches, managing resolutions
  • Ensuring the business adheres to the required FCA regulations
  • To embed a strong compliance culture throughout the organisation


25 days holiday + bank holidays, pension, bonus, private health care, life assurance, dress down Fridays & regular company events

Full job description can be provided, please get in touch for more information at

By applying you will be registered as a candidate with Gleeson Recruitment Limited. Our Privacy Policy is available on our website and explains how we will use your data.