Our client is an ethical and well-respected financial services organisation that are recruiting a Compliance Manager to join the business and assess adherence to regulatory standards. You will also identify areas of industry good practice and maintain relationships with partner firms, giving both advice and guidance.
• Plan and execute compliance oversight activity and relationship management visits
with partnered firms and their agents.
• Produce high quality reports that bring issues and emerging risks to the attention of
• Assess registered firms’ policies, procedures and operational frameworks for
adherence to standards and codes and make recommendations.
• Act as the first point of contact and main liaison for a portfolio of firms.
• Carry out investigations into systemic or significant breaches, identifying issues and
providing reports and recommendations to the organisation.
The Ideal Candidate:
• A compliance assurance and oversight background, in the UK retail financial
services industry with a good understanding of the regulatory landscape.
• Strong report writing skills with the ability to articulate key findings in a concise and
• Ability to undertake detailed analysis, ensuring all relevant information has been
accessed and reviewed in a timely manner and engage with stakeholders.
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.
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