Compliance Manager

Recruiter
Michael Page Finance
Location
Edinburgh
Posted
05 Oct 2017
Closes
02 Nov 2017
Sector
Accountancy
Contract Type
Permanent
Hours
Full Time

This is a fantastic opportunity for an ambitious Compliance Manager to be part of a team responsible for maintaining a compliant operation within Financial Services. The individual must have a sound working knowledge of the UK regulatory framework, and specific experience of compliance monitoring.

Client Details

My client is an Edinburgh based Financial Services client.

Description

The Compliance Manager will be:

  • Responsible for all risk and compliance monitoring, reporting and tracking of actions.
  • Advising management and staff on the practical application of FCA rules, guidance and principles.
  • Assisting in the preparation of reports for governance committees and recording of minutes.
  • Reviewing policies, systems, processes and controls to ensure they reflect best practice, are up to date and operating as documented.
  • Working closely with the Head of Risk & Compliance to assist in the preparation of data as required.
  • Providing Risk & Compliance training, and acting as a contact point for compliance and risk queries.
  • Assisting with reporting to the FCA.
  • Track regulatory change projects within IFDS/DST.

  • Attending project meetings and identifying regulatory impact.
  • Updating Compliance and AML procedures for regulatory change.
  • Acting as a subject matter expert on AML, Complaints, Data Protection, Conflicts etc.
  • Prepare quarterly reports for the Board on compliance activities

Profile

The successful Compliance Manager will have:

  • Understanding of UK regulations
  • Experience of compliance monitoring in a risk-based framework, preferably within investment & asset management
  • Experience working with monitoring systems IFDS/DST
  • Good understanding of FCA compliance requirements
  • Ability to work independently and to show initiative
  • Ability to assimilate and analyse information
  • Excellent communication skills and a logical approach

Job Offer

  • An excellent opportunity to build and develop on current compliance experience.
  • Ability to gain exposure across to compliance across an organisation, and engage with members of staff up to board level.
  • Competitive salary DOE

This job was originally posted as www.totaljobs.com/job/76730585