Compliance Manager

The Company:

This company is a leading financial services provider, offering a range of investment solutions to their clients. They are currently seeking a Compliance Manager to join their team and support the Senior Compliance Manager in all aspects of the business’s adherence to regulatory and supervisory standards.

The Role:

The Compliance Manager will be responsible for assisting the Senior Compliance Manager with the oversight of the compliance function. The successful candidate will also be required to assist with the review and communication of policy change throughout the firm and provide assistance and guidance on Compliance and risk to the wider business.

The Compliance Manager will also be responsible for monitoring and implementing FCA regulations, conducting MI collection and reporting to the Senior Compliance Manager, and acting as a point of contact for other departments’ Compliance queries. They will also be required to carry out client on-boarding and ongoing file reviews of Discretionary clients to ensure suitability and consumer duty principles are being met. 

The Candidate:

The ideal candidate will have at least 3 years’ experience of working in a compliance function and a professional approach to work. The candidate should also have the ability to write concisely in plain English to produce internal reports to key stakeholders in the business, and the ability to self-start and manage their own workload and prioritise their demands and deadlines.

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.