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Compliance Manager

  • Location: Birmingham
  • Salary: £65,000 + Benefits per year
  • Job Type:Permanent

Posted about 2 years ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email: pclayton@merje.com
  • Expiry Date: 05 May 2022
  • Job Ref: PC/B18765

​Job Description: As part of the Compliance & Risk team the Compliance Manager will have responsibility to ensure the effective and efficient workings of all aspects of compliance function. This senior position will lead, manage and direct a team in the delivery of excellent service to internal and external stakeholders and clients. The role takes responsibility for the Compliance Framework.

This key role will have considerable influence in shaping the nature of the compliance framework of the business and will be able to make a substantial contribution to ensuring that the regulatory requirements of the Company are met.

Key responsibilities include:

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•Support the development of the compliance culture of the organisation by ensuring the servicing and origination platforms’ policies, processes, procedures and training meet with financial regulation and legislation.

•Support the development and maintenance of the organisation’s Compliance Policy Manual and supporting policies and procedures.

•Assist in the design, implementation and maintenance of an annual compliance monitoring programme in order to identify improvements to the implementation of relevant regulation and legislation.

•Monitor and report on the business’ compliance with prevailing regulation and legislation through monthly monitoring and business reviews.

•Identify the implications of regulation and legislation for the business.

•Advise line managers on the scope and implications of the regulation, legislation and the organisation’s compliance policies

•Support compliance inspections by Regulators, clients and other bodies and the preparation for these inspections.

•Advise and guide other staff on compliance matters to support the business.

•Write and present compliance reports including summaries of appropriate papers issued by the regulator.

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The Person:

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•Knowledge and experience of relevant rules and regulations.

•Experience of asset management/collective investment scheme compliance.

•Active participant in continuous professional development, with an up-to-date knowledge of Compliance & Regulation, investments and pensions matters

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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.