Compliance Manager (CASS)

MERJE Limited
United Kingdom
£75,000 - £85,000
07 Oct 2017
08 Nov 2017
Contract Type
Full Time
The Client- A leading wrap service provider The role- To deliver high quality and accurate regulatory advice and guidance in accordance with the standards expected by the Group and strong support to the Senior Regulatory Consultant. This includes providing oversight and direction to other team members, providing general advisory, process and development support to the firm, supporting the delivery of compliance initiatives, regulatory development analysis, regulatory change projects and, in particular, support and challenge as needed in particular on CASS and prudential matters. At all times working closely with other teams within Compliance and with all areas of the business Key Requirements- - Advise on applicable rules and regulations and provide guidance on complex regulatory queries in general - As needed, deputise for Senior Regulatory Consultant in times of absence and by providing day to day support to and guidance for other team members within Compliance - Deliver advice, support and challenge to the business as needed on regulatory - projects and advice and, in particular, to CCA, Actuarial & Risk and Internal Audit on Solvency II and CRD/CRR prudential and organisational developments and to the CF10A and wider firm on CASS matters. - Keep informed on regulatory developments affecting the Group, in particular, as - regards Solvency II and CRD/CRR prudential and organisational developments and CASS and contribute to assessing their impact and lend support on horizon scanning activities in other conduct areas as needed. - As required, lead or support responses to consultations and implement necessary changes to policies, procedures, processes and systems - Contribute to the delivery of timely and effective reporting to the regulators, Boards, Committees and Forums, Group Counsel and Head of Compliance on compliance - activity and projects. - Network effectively internally and externally to ensure work is delivered smoothly internally and to be able to benchmark Group practices. - Take responsibility as required for designing, producing and managing compliance processes and management information as needed. - Lead and develop others as required, effectively ensuring that sufficient time is given to individual development and delivering high quality work. - Oversee, provide direction and/or work closely with other members of the Compliance team across a broad range of compliance work Skills and experience- - Significant practical knowledge and understanding of, and the ability to apply relevant FCA and PRA rules and guidance particularly those relating to IFPRU, BIPRU, SYSC, COBS, TCF, CASS and Conduct Risk - Practical knowledge and understanding of the UK regulatory environment as it relates to the financial services industry and investment business and custody in particular - Good understanding of the retail financial market including products and tax wrappers. - Excellent Microsoft Word skills - Platform experience - Risk management experience - Life company experience - Experience working at a UK regulator - Private Banking experience UK distribution experience - Regulatory relations/engagement experience - Funds experience
This job was originally posted as