Back to Job Search

Compliance Manager

  • Location: United Kingdom
  • Salary: £60,000 +Benefits per year
  • Job Type:Permanent

Posted 8 months ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email: pclayton@merje.com
  • Contact Phone: 0161 883 2747
  • Expiry Date: 30 August 2023
  • Job Ref: PC/10647

Job Description:  I'm working with a successful investment business who will help lead the Compliance team in delivering high-quality compliance advice, oversight and challenge to the business.

 

The role will involve taking responsibility for the following:

Design and agree with the Head of Compliance & Risk an annual compliance monitoring programme, taking a risk-based approach to the Group's key risks.

Assist the Head of Compliance in providing independent reporting to the Board, Committees and senior management on compliance issues impacting the firm.

Lead the Compliance team in delivering the compliance monitoring programme, including setting management actions, to agreed standards and timescales.

Oversee the timely monitoring and analysis of regulatory development / change and delivery of clear (potential) impact assessments to the operational teams.

Oversee regular second line of defence monitoring tasks such as Market Abuse surveillance and Best Execution (in conjunction with the CIO team).

Ensure there is Compliance SME input and support for business led projects and Compliance led projects are delivered to plan.

Assist the Head of Compliance in managing and mentoring Compliance Analysts.

Provide Compliance support to the CIO team conducting due diligence visits on external delegated investment managers.

Ensure customer communications, including financial promotions, are reviewed and approved in line with FCA rules and guidance.

Oversee the provision of high-quality, practical advice and guidance to the business, in response to compliance queries.

Ensure the Compliance team promote a strong compliant culture within the business, through training and general awareness activities.

Ensure the firm's compliance policies and procedures are kept up to date; that they are appropriate, proportionate and understood by the business, driving the right compliant behaviours.

Have input and oversight of the Consumer Duty rules and implementation.

Oversee the FCA regulatory reporting submissions timetable.

Key Requirements:

Completion or working towards the CISI's Investment Operations Certificate (IOC)

At least 5 year's FCA regulated compliance experience, including managing a team.

Experience gained in Investment Management, Asset Management or Private Banking

 

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.