Compliance Manager - (Retail Investments)

Specialist Financial Recruitment Limited
Ash Vale
£60,000 per annum
13 Oct 2017
31 Oct 2017
Contract Type
Full Time

A fast-growing award winning investment business based in the South East, managing a range of asset classes including multi-asset, UK equities, global equities and fixed interest is seeking a Compliance Manager based in Guildford to join its expanding team.

The successful candidate will work as part of a small multi-skilled compliance management team, providing support to the Head of Compliance & Legal.

The role covers a broad range of compliance related tasks with a particular focus on AML/KYC related matters, financial crime and data protection.

The successful candidate will organise and attend relevant committees and interact with key service providers.

As the Compliance Manager, your duties will be to:

  • Make decisions on documentation requirements and exercise judgement in line with current guidance
  • Act as administrator on electronic verification tool e.g. ID3
  • Accept and liaise on SARs as required from time to time
  • Assist on any tipping off scenarios that arise and coaching of staff
  • Prepare the annual MLRO Report
  • Update and maintain relevant policies

Financial Crime

  • Responsibility for coordinating the compliance approach to all financial crime related matters
  • Liaise on financial crime issues with outside parties e.g. administrators, police, regulatory bodies and industry bodies

FCA Reporting

  • Maintain the Financial Crime Framework and conduct annual reviews
  • Prepare reports to relevant boards and committees
  • Update and maintain relevant policies

Data Protection

  • Responsibility for coordinating Premier compliance approach to data protection
  • Update and maintain relevant policies

Compliance of promotional material

  • From time to time, check promotional material produced by the marketing department providing feedback on any changes required to ensure compliance with FCA rules

Provide support to the Chief Operating Officer and to the Head of Compliance & Legal in their roles

  • Assist in research connected with new products or projects
  • Assist in the day to day management of agreed projects
  • From time to time, represent the firm on appropriate working parties and industry bodies
  • Attend relevant industry breakfast briefings, seminars and conferences, as appropriate
  • Keep up to date with developments in the various laws and regulations by which both companies are bound and ensure the continued compliance with such laws, in particular with respect to the Money Laundering Regulations and Financial Crime


  • Provide training on Compliance and Financial Crime matters to all staff

To be a successful Compliance Manager you will have the following skills and experience:

  • Experience of working in Compliance and Money Laundering in the finance industry, preferably in Fund Management
  • Strong Interpersonal skills
  • Good analytical / problem-solving skills
  • Good administrative and personal organisational skills
  • Good IT skills / ability to use Microsoft Office and Excel
  • Relevant professional qualification
  • A detailed knowledge of UK FCA regulatory requirements and a sound understanding of relevant EU directives
  • A detailed knowledge of the FCA Handbook insofar as it relates to CCA, retail and wholesale firms.

Previous experience of reporting directly to a main board and / or holding a controlled function registered with the FCA would be advantagous.

The successful applicant should develop to become Money Laundering Reporting Officer, CF11.