Compliance Manager

Clark James Recruitment
Horsham, UK
20 Aug 2019
01 Sep 2019
Contract Type
Full Time
Clark James Recruitment are delighted to be working with a prestigious company who are requiring an experienced Compliance Manager. Our client are highly successful & reputable, powering bespoke wealth management and technology solutions for discretionary fund managers, national financial advisers and networks.

The Company provide a unique combination of Wrap Platform, Discretionary Management and Investment Management services which are fundamentally changing the businesses they power, are part of a group, formed in 2015, who's mission it to power the highest quality firms in the Financial Services Profession. Following significant growth, this very exciting opportunity for a Compliance Manager has arisen.

The Role

Working as Compliance Manager, you will be managing a team of 4 Compliance Analysts and a Compliance Administrator, reporting to the Senior Compliance Manager. General responsibilities will include:
  • Assist the Compliance Director in administering an effective scheme of control & monitoring across the business
  • Design and implement business processes
  • Manage risk within the business through identification and establishment for new controls
  • Keep up-to-date with regulatory and industry developments
  • Provide cover and support for the Compliance Director as appropriate
  • Liaise with key stakeholders, senior managers and board members in respect of regulatory and business issues
  • Communicate and escalate issues or matters which could not be resolved at Manager level
  • Assist in making all appropriate notifications to the FCA
  • Manage resource within the function
  • Contribute to the department and company objectives
  • Apply a risk-based and common-sense approach to the compliance monitoring process
  • Apply a risk mitigating structure of compliance and business controls
  • Undertake regular reviews of business statistics, ensuring that data and management information in respect of platform use is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
  • Consider and develop the internal monitoring structure and effectiveness of controls

  • Level 4 Diploma in Regulated Financial Planning, or equivalent
  • Notable & credible Investment qualifications, covering management, discretion and platforms
  • Detailed knowledge of FCA rules and their interpretation/application
  • Understanding of contracts and relevant documentation
  • Ability to manage, coordinate & support a team
  • Ability to train & motivate others
  • Have highly developed analytical, observational and communication skills

Ideally, you will also have held CF10 & 11 responsibilities, or at least worked closely with.

Liability and Disclaimer

The information contained in our advert including any salary or on target earnings information is given in good faith and Clark James Ltd uses all reasonable efforts to ensure that it is accurate. However, Clark James Ltd gives no representation or warranty in respect of such information and all such representations and warranties, whether express or implied, are excluded. No liability is accepted by Clark James Ltd for any loss or damage which may arise out of any person relying on or using any information within this advert.

Please Note

All applications received will be dealt with in the strictest confidence.

Due to the volume of applications received we will be in touch if your application has been successful within 7 working days. If you have not received any communication within this time, please assume you have been unsuccessful on this occasion, but the information may be retained in connection with future opportunities.

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