FourthLine are exclusively representing our client based in London to recruit for a Compliance Manager for the consulting arm of the firm. The role sits within the Financial Regulation practice.
We are looking for candidates with generalist compliance knowledge and experience within the retail financial services. The main focus of the role will be to support the firms Compliance oversight function. This is an exciting opportunity to join a tight-knit firm in a broad independent role.
Main responsibilities include:
- Providing technical compliance advice on regulatory issues and industry change
- Drafting and helping the client to implement policies and procedures to ensure their compliance with requirements
- Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter
- Supporting client programmes across the breadth of FCA requirements from authorisation, marketing and distribution requirements, general handbook advisory and assurance through to remediation
- 3-4 years experinece in a similar role
- Regulatory experience at the FSA/FCA, medium-large financial services organisation, regulatory consultancy or similar consultancy firm
- Hands on experience of the design and delivery of policies and internal control frameworks
- A sound knowledge of FSMA, the FSA Handbook, relevant industry codes and developments relevant to the client base
- Familiarity with the financial services industry and experience in dealing with in-house compliance and legal teams
- Strong academic background and ability to produce complete and accurate work with limited supervision
- Flexibility - can work on client site when necessary and able to commit effort to deliver within challenging client timescales
- Commitment to team-building and promoting the group's best interests across the breadth of compliance and legal activity.