Investments Compliance Manager (Contract)

  • Location


  • Discipline:


  • Job type:


  • Salary:

    c. £500 - £600 per day

  • Consultant:


  • Email:

    Paul Sherlock

  • Job ref:

    PS/15863 (S)

  • Published:

    almost 2 years ago

Our client is a highly respected Financial Services business that offers a broad range of products to its loyal customer base. They are looking to recruit an Investments Compliance Manager on an initial 6 month fixed term contract.  In this role you will work as part of the firms successful Investments team providing support and guidance to the team and wider business.

Key responsibilities include:


The role is an Investments Compliance Lead with a focus on wider Investments and Pensions regulation, so COLL and COBS knowledge will be of real benefit in this role.

They require someone with experience of designing and challenging processes for regulatory compliance. 

Working with Third Party Administrators and other supplier partners in setting up a compliant investment operation.

Possess the ability to lead on facilitating workshops and negotiations with supplier partners. 

Ability to manage people in virtual teams to deliver compliant outcomes.

Strong technically minded with excellent communication skills and stakeholder management skills up to Exec and Board level.

Essential skills and experience:

  • Experience in a Compliance function preferably within a banking or retail environment
  • Sound technical regulatory knowledge across the various FCA rule books particularly COBS and COLL.
  • Good oral and written communication, facilitation skills and ability to present information in a concise and coherent manner.
  • Ability to engage with stakeholders and develop effective working relationships across all levels.