Compliance Manager - Investments

Thistle Initiatives
London, South East England
21 Jul 2017
20 Aug 2017
Contract Type
Full Time

Thistle Initiatives is a financial services consultancy based in the heart of London and Surrey. Currently experiencing rapid growth, Thistle Initiatives are looking for an experienced individual to be responsible for delivering a range of financial services compliance solutions to its clients.

Key responsibilities:

  • Providing a technical helpdesk function to the firm and its clients
  • Undertake a range of projects as requested by senior management
  • Providing detailed audit reports and making recommendations to the clients of any areas requiring attention
  • Undertaking Training and Competence visits to clients
  • Conducting client file reviews
  • Running training courses
  • Assisting with the development of internal policies and procedures
  • Referral point for junior colleagues
  • Identifying and recommending technical skills training where judged appropriate by you
  • Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence
  • This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position



  • Commercial Awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance
  • Commitment & enthusiasm: should have a desire to see the firm succeed
  • Embraces change: should be adaptable to the changing requirements of the regulations and be keen to develop new skills
  • Communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the client
  • Personal Credibility: must be able to establish and maintain trusting relationships with clients and colleagues
  • Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others.
  • Individual working: must be able to work under own initiative identifying when referral needs to be made


  • Very strong attention to detail: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice
  • Time management: must be able to prioritise and manage time and tasks effectively; this includes a readiness to delegate where possible
  • Application of regulation: must have a detailed up to date understanding of FCA regulation and be able to apply this to the business requirements of the firm
  • Technical Knowledge: must have a working knowledge of financial Investment products including but not limited to physical equities, CFDs and various types of funds. Execution only, advisory and discretionary services.
  • Problem Solving: demonstrates an ability to solve problems in a rational manner, self-sourcing and as part of a team
  • Planning & organising: effective manager of time and detail, logical approach and good record keeping essential


  • Relevant Financial services background and experience essential.
  • Certificate/s in financial investments such as the CISI IOC or equivalent qualification beneficial.
  • Diploma/s in financial investments such as the CISI IAD, PCIAM or equivalent or working towards qualification beneficial
  • Diploma in Investment Compliance, equivalent or working towards qualification
  • Educational attainment at degree level useful but not essential

If you meet the above criteria, please send over your CV and we will be in touch to discuss your suitability for the opportunity