My client is long established and highly regarded in the field in which they operate which is specifically in the Investment and Wealth management space. They are currently seeking a Compliance Manager to join their team. The successful candidate will be responsible for supporting the Senior Compliance Manager in all aspects of the business’s adherence to regulatory and supervisory standards. This is unique opportunity to undertake a broad based role within a small close knit team where you will hugely benefit from being exposed to a wide range of compliance related responsibilities. The salary range is broad as my client is open to looking at those individuals who have gained a good grounding in Compliance but who are wanting to step up alongside those individuals who may have more experience and would be keen to come in and take on a more autonomous role. The role is a stand alone Compliance Manager with no line management responsibility.
Assist the senior compliance manager with the oversight of the compliance function.
Oversight of the Reconciliation functions and assist the senior compliance manager with the maintenance of the CASS resolution pack.
Assist with review and communication of policy change throughout the firm.
Provide assistance and guidance on Compliance and risk to the wider business.
Assist the Senior Compliance manager with monitoring and implementation of FCA regulations.
Conduct MI collection and report to the Senior compliance manager.
Be a point of contact for other departments’ Compliance queries.
Carrying out client on-boarding and ongoing file reviews of Discretionary client to ensure suitability and consumer duty principles.
Undertake projects as and when required to support the needs of the wider business as well as the compliance department.
Work with and assist the senior compliance manager to develop the compliance function, its strategic plan and fulfilment of the compliance function’s role within the business.
Oversee compliance with MiFiD II Transaction Reporting
Regularly assess the adequacy and effectiveness of the policies and procedures put in place to ensure compliance with the firms’ regulatory obligations.
At least 3 years’ experience of working in a compliance function within an FCA regulated business is essential.
Professional approach to work
Previous exposure to policy and writing and reconciliations.
Ability to write concisely in plain English to produce internal reports to key stakeholders in the business.
Ability to self-start and manage own workload and prioritise ones demands and deadlines.
Candidates with experience relating to the investment sector would be of particular interest.
If you are looking to be a bigger fish in a smaller pond and take on a much broader role which can only enhance your skills, experience and career prospects this is the ideal role for you.