MERJE are working with a fast growing investments business who are looking for a Compliance Manager to join their team.
•Provide Compliance Support and guidance to the Investment Management team.
•Lead on the interpretation and roll out of investment management related regulation (both conduct and prudential regulation).
•Lead on FCA RegData returns and other FCA responses working with CRO.
•Maintain and update a full suite of compliance policies and manual
•Ensuring PA and PDMR dealing policies are fit for purpose, understood, and followed.
•Management of Companies House filings, FCA registrations, authorisations, and regulatory returns.
•Maintenance of the company errors and breaches log.
•Manage the effective maintenance of the Senior Manager & Certification Regime amongst certified and conduct rule staff.
•Manage the roll out of company-wide compliance training.
•3 years’ + experience in a compliance role within Financial Services, preferable Wealth or Investment Management.
•Familiarity with FCA systems and returns
•Experience of Compliance Policies and Manuals and their maintenance.