7 days ago
A Compliance Manager, who desires to work in a dynamic, fast-moving and fast-growing company environment interacting with blue-chip clients, is required to work for a financial services company based in London. The company specialises in providing compliance and regulatory umbrella services to their clients (hedge funds, investment managers, corporate finance advisors, wealth managers to crowd funders).
As a Compliance Manager, you will be expected to oversee the work of 2-3 Compliance Associates responsible for conducting periodical compliance reviews, managing a compliance monitoring program and ensuring regulatory oversight on a day to day basis.
The successful Compliance Manager will perform a variety of special compliance projects, thematic reviews to articulating issues to the compliance committee for discussion.
You will need to have a good understanding of the FCA compliance environment specific to the clients they are responsible for.
- Manage the ongoing compliance monitoring plan for a portfolio of clients
- Perform thematic reviews and sign-offs
- Complete various client facing tasks, office visits, file reviews and calls with clients to discuss compliance tasks and monitor their conduct and compliance documentation
- Strong experience in working in an FCA compliance environment with a good understanding of the financial services industry
- Team leader skills (leading a small team of 2-3)
- Impeccable attention to detail
- Ability to interact effectively with blue-chip clients and influence clients
Qualifications and Experience
- Bachelor’s degree (Law or Business preferred) or equivalent
- Excellent communication skills, written and verbal