Assignment Profile: Our client is a highly regarded financial services institution whose business includes securities trading, corporate broking and wealth management. They are seeking an experienced Securities compliance professional to join the compliance team
Candidate Profile: The successful candidate will be of graduate calibre with have at least five years compliance experience within a securities house or brokerage and be familiar with the US rules and regulations
You will be FINRA qualified in particular hold, FINRA Series 86 (valuations), Series 87 (procedures) and Series 24 (Supervision) exams
You must be able to work confidently across the business and with external parties
Must be able to work to deadlines and be well organised and maintain goods time management
You may also be required to manage a member of staff
Consultant: Jonathan Banjo
Consultant Email: jbanjo@ajbexecutivesearch.co.uk
Salary: Circa £90-120,000 Plus Benefits
If you feel you are a suitable candidate for this position please contact Jonathan Banjo.
