Compliance Manager

Alexander Lloyd
£40000.00 - £60000.00 per annum
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

My client is a leading financial services organisation based just outside of London (30 minutes train from Victoria). They are looking for a Compliance Manager/Generalist to join their team. Reporting to the Head of Compliance you will act as a senior member of the team in a generalist compliance role, with a lean towards becoming an SME in regulatory change and developments.

This role is not managing anyone but as a senior member of the team you will get involved in developing junior colleagues.

Accountabilities and main responsibilities

  • To maintain technical knowledge to ensure the company conducts its regulated business activities in line with the FCA rules.
  • Identify, monitor and assess compliance breaches, complaints and incidents and ensure that these have been responded to promptly and details of material breaches are reported to the CEO/Board/FCA
  • To remain up to date with all regulatory developments and assessing the implications for the businesses, complete a gap analysis and recommend/implement changes including update of Compliance policies and monitoring plans, providing timely and accurate updates to the Head of Compliance, Risk Committee and Board, and Group etc.
  • To carry out Compliance monitoring, as directed.
  • To review all marketing and advertising to ensure all such items comply with the FCA requirements on Financial Promotions and Treating Customers Fairly principles.
  • To provide clear and accurate guidance to the business where queries arise.
  • To provide coaching and guidance to other team members ensuring that work is delivered to plan.
  • To review the Compliance, other manuals and internal policies to ensure these are up to date and fit for purpose.
  • To undertake ad-hoc project work and/or become the Subject Matter Expert in compliance tasks as periodically advised by the Head of Compliance (e.g. advisory and AML).
  • Assist the business/compliance function in preparing for FCA and other external visits.

Essential Knowledge/expertise

  • Compliance qualifications or willingness to study
  • Solid generalist compliance experience with excellent technical knowledge (ie. MiFID II, CASS etc)
  • Experience in interpretation and implementation of regulatory change within a business environment.
  • Knowledge of Client Assets, Custody, Dealing, and related technical aspects of the Securities / Asset Management / Stockbroking sectors
  • Excellent report writing and IT skills

Please quote (41538) when calling Alexander Lloyd. This is only one of many vacancies we are handling. Alexander Lloyd is a specialist within Financial Services recruitment. Areas of expertise include Compliance Directors, CF10/11, Risk Frameworks, Monitoring, Advisory, Policy, T&C, Quality Assurance/ File Review, AML/KYC etc across the entire financial services sector including investments, banking and insurance. We predominately focus on London, Surrey, Sussex and Kent, although we have also been highly successfully in offering national solutions. Due to the high amount of interest that we receive for each of our roles unfortunately we cannot respond to each application individually, therefore if you do not hear back from one of our consultants you have not been shortlisted for this role. Please continue to check our website for any other roles which may be of interest.

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