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Acquisitions Compliance Manager

  • Location: Cardiff
  • Salary: £55,000 - £60,000 per year
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Compliance
  • Contact: Sam Anderson
  • Contact Email:
  • Contact Phone: 0161 883 2765
  • Expiry Date: 12 April 2024
  • Job Ref: SA/11516C

Acquisitions Compliance Manager

MERJE, United Kingdom (Remote)

Our client, a specialist Wealth Management firm are looking for an Acquisitions Compliance Manager to join and assist the Head of Acquisitions Compliance with understanding a target firm's culture, in order to summarise a formal written Report for Board consideration.

You will be responsible for comprising reviews of systems and controls, investment propositions, advice and service propositions. As well as the assessment of the target firm's compliance with applicable FCA rules.

Role Responsibilities:

Support the execution of regulatory due diligence and assist in ensuring findings/conclusions are appropriately considered in line with regulatory and internal compliance requirements.

Identify regulatory risks, escalating significant concerns to the Head of Acquisitions Compliance.

Interpretation and analysis of information provided.

Stakeholder management.

Dataroom management.

Assist and support delivery of other ad-hoc projects, playing a supporting role to senior members within the team and other areas of Compliance as required.

Key Skills & Experience:

DipPFS qualified.

Strong working understanding of FCA rules and regulations.

Be comfortable writing up finding in a clear, concise and professional way to contribute to wider Reports.

Alert relevant parties to 'red flags' or 'concerns' that emerge during the due diligence process, with well reasoned rationale.

Have experience working for a consultancy or compliance service provider or contributing to Regulatory Due Diligence exercises.

Have a high level of attention to detail and an analytical and inquisitive mind.

Excellent organisational skills and able to work independently and meet deadlines.

Experience of working as part of a team and able to work remotely with colleagues often in virtual environments i.e. Microsoft Teams.

A reliable person who has the ability to manage and prioritise workloads on simultaneous projects and communication streams.

Experience with Microsoft Excel, capable of the creation and maintenance of often complex spreadsheets and the analysis of data with experience in cleansing data, able to perform trend analysis and troubleshooting.

Competent working with a range of Office 365 applications, particularly Teams, SharePoint, Excel, Word and Outlook.

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately, your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

If you would like this job advertisement in an alternative format, please contact MERJE directly.