Compliance Manager

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  • Salary:

    £37,000 + Benefits

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  • Published:

    over 2 years ago

The role will initially involve assisting the Compliance Officer in ensuring the business continues to meet its regulatory responsibilities.  The intention is for there to be a career progression path to Compliance Officer and CF10 responsibility for the firm.

The role will involve:

  • Undertake tasks relating to the monitoring of client reviews;
  • Undertake internal audit tasks in line with the Compliance Monitoring Programme;
  • Undertake tasks relating to IT compliance, including monitoring Disaster Recovery processes and the take on of new systems and software;
  • Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks;
  • Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management;
  • Assist with the update and maintenance of Compliance procedures;
  • Assist with general compliance queries;
  • Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business;
  • Assist with and lead compliance projects;

Key Requirements:

  •  Educated to degree level as a minimum
  • industry relevant qualifications but this is not compulsory as appropriate exam training can be offered
  • Desirable qualifications are the IOC – Investment Operations Certificate, Diploma in Investment Compliance and the IMC.  Other industry relevant qualifications will be considered.