Compliance Manager

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  • Salary:

    to £55,000 + Bonus + Benefits

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  • Published:

    over 1 year ago

My client is an FCA authorised venture capital business. The firm embraces compliance culture and desire to be best in class.

They are currently seeking a Compliance Manager to ensure that the company's policies and rules are in line with regulatory requirements and standards. The group is undergoing a phase of rapid growth where you will be afforded a chance to make your mark and be a significant part of the groups development.

Key responsibilities include:

  • Acting as a key point of contact for compliance and conduct risk issues. Provide advice and guidance to staff in the development and review of processes and procedures to ensure effective compliance with the FCA and other regulatory requirements.
  • Consulting with and provide challenge to management to outline compliance policies.
  • Ensure the Compliance framework is effective and provide challenge accordingly
  • Drive a robust compliance culture across the businesses working closely with senior leadership teams
  • Providing training and coaching across the business, educating and developing accordingly
  • Manage the compliance monitoring programme plan.
  • Maintaining regulatory communications and monthly compliance updates
  • Conduct data protection information audit and impact assessments
  • Maintain a record of all data processing activities and categories of data
  • Oversee the approach to anti-money laundering and counter terrorism financing
  • Monitor and check initial declarations/AML/Appropriateness tests on new and existing investors

Qualifications/Key Skills:

  • Proven experience of working in an FCA environment in a compliance role within a Venture capital/Fund Management/Wealth Management business.
  • My client would also consider someone with a general compliance experience with a very good understanding of consumer credit in relation to Debt services such as Asset finance
  • Self-starter:  ability to take initiative and develop their own ideas
  • Good Communication skills – ability to interact with senior personnel and investment team to promote good behaviours throughout organisation
  • Good judgement and ability to interpret requirements in a commercial environment and provide pragmatic effective solutions.
  • Can do attitude and thrives on challenges.
  • Working knowledge and understanding of Conduct Risk, TCF and GDPR/DP.

This is a ‘hands on’ role working as part of a small dedicated team and the successful candidate will have a flexible approach and a ‘can do’ attitude to problem solving. The ability to work autonomously is important as is the ability to manage multiple work flows.

Salary range is broad as my client is keen to consider individuals at varying levels.  It will be entirely commensurate with experience but will reflect the significance of the role. Benefits package is comprehensive and the role will also qualify for a bonus which could be significant and will be dependent on individual and company performance.

Please note, should you not receive feedback 28 days, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.