FCA Compliance Manager

Gateshead, UK
13 Aug 2019
13 Sep 2019
Contract Type
Full Time
FCA Compliance Manager - Part Time

My client is a small, established asset management firm based in Gateshead who due to continued growth are looking for a part-time (3 days pro-rata) experienced FCA Finance Compliance Manager to join the small team. The ideal candidate for this role will be a well-rounded, self-motivated and enthusiastic individual with demonstrated experience within a financial compliance role essential.

The successful candidate will manage, from a compliance perspective, all undertakings carried out by the business, the Managing Director and the Wealth Managers. To provide, wherever possible, innovative development ideas on all areas of the business, from new compliance procedures to schedule and report writing to file management. It is an essential requirement of this Compliance Manager that they must have taken and passed the RO1 exam.

The Compliance Manager will also aid in administrative duties on a day to day basis where required.

* Please note; to be successful in this position you must have taken and passed the RO1 exam *

Duties and responsibilities include:

As the Compliance Director, it will be this persons requirement that the following job roles are carried out throughout the working week. These roles are exclusive to the Compliance Manager and will be carried out by the Compliance Manager only:
  • Ongoing knowledge of all FCA regulations and European Directives
  • Knowledge and implementation of MiFID II across the firm
  • Knowledge and implementation of PROD across the firm
  • Management, from a compliance perspective, of the employees of the business
  • Management, from a compliance perspective, of the Wealth Managers of the business
  • Full implementation of New Business from Day One of a new client New Business
  • Compliance Auditing
  • Compliance Reporting
  • Overseeing that all documentation is legally and regulatory compliant, this will include but is not exhaustive to: Suitability Reports, disclosure documents, company website, stationary, etc
  • Ongoing Due-Diligence
  • Overseeing regular changes to the Business Cloud Office system
  • Development of Business and Employee monitoring systems
  • Liaising with external marketing company (where applicable)
  • Regulatory Oversight of Twitter, Facebook and LinkedIn accounts
  • Ongoing Compliance Maintenance of Back Office System and WAVE Portal
  • Seminar Attendance
  • Personal Development - Training Course attendance and Examinations

Benefits include;
  • Part-time (3 day) salary £25-30k pro-rata
  • Quarterly one to one meetings
  • Management Meetings
  • Support and discussions with regard to any business development ideas and improvements the Compliance Manager may have
  • Support and discussions with regard to any issues and concerns the Compliance Manager may have

Adecco acts as an employment agency for permanent recruitment and an employment business for the supply of temporary workers. The Adecco Group UK & Ireland is an Equal Opportunities Employer.

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