Compliance Manager (PART TIME 3 DAYS A WEEK)

  • Location


  • Discipline:


  • Job type:


  • Salary:

    £45,000 + Benefits

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    almost 3 years ago

The role will involve:

  • Ensuring the organisation is in line with the FCA Handbook.
  • Monitoring and approving Financial Promotions.
  • Sit on and take an active part of the Investment committee
  • Interacting with the FCA on matters such as Regulatory Reporting and Approved Persons applications.
  • Handling disciplinary matters for any compliance breaches.
  • Ensuring the company is compliant with any regulatory changes.
  • Carrying out compliance monitoring audits and offering feedback to members of staff and setting the overall compliance monitoring plan.

Key Requirements:

  • Prior experience of working within an FCA environment
  • Must have previous Investments experience.
  • Ideally have relevant professional qualifications (Level 4 Diploma qualified)