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.
My client is an Edinburgh based Financial Services client.
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
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
- 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