Compliance Manager

09 May 2017
08 Jun 2017
Contract Type
Full Time

Job Description: Reporting to the Head of Compliance, this role will be responsible for all regulatory developments and analyse / assess the implications for the business.

The Client- This Financial Services businessprovides financial outsourcing services to a wide range of institutional, corporate, financial, fund and private clients worldwide.

The role-

  • To be the Compliance team Lead for regulatory change (including MiFID II), attending relevant forums/committees, remaining up to date with all regulatory developments and assessing the implications for the business.
  • Complete gap analysis where appropriate and recommend/implement changes including updating Compliance Policies and Monitoring Plans and providing timely updates to the Head of Compliance.
  • To possess a technical understanding of the business as well as a thorough understanding of the relevant FCA rules and ensure the business is conducting it’s regulated 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.
  • Provide clear and accurate guidance to the business.
  • Provide coaching and guidance to other team members ensuring work is delivered to plan.
  • Undertake any other ad-hoc project work and become the subject matter expert in compliance matters.
  • Assist the business and compliance function in preparing for FCA and other external visits.

Key Requirements-

  • Minimum 5 years experience in Compliance.
  • Experience of working within the FCA regulatory framework.
  • Proven track record of managing tasks and objectives in an efficient and timely manner.
  • Experience in interpreting and implementing regulatory change.
  • Understanding of FCA rules within CASS, COBS, FEES, TC, SYSC, DISP, SUP.
  • Knowledge of Client Assets, Custody, Dealing and related technical aspects of the Securities / Asset Management / Stockbroking sectors.
  • Report writing , time management, people management and team working skills.