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Senior Compliance Manager

Lutine Bell
Closing date
4 Dec 2021

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Contract Type
Full Time
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The Senior Compliance manager is responsible for supporting the business in achieving its strategic goals through the delivery of prompt, clear and pragmatic compliance advice through collaboration and formal engagement and for providing first line teams with advice regarding the compliance requirements. Working with the Compliance team and relevant senior managers the role will maintain and implement the organisation's strategic and tactical approach to regulatory and support the delivery of the Compliance Plan.

Role responsbilities:
  • Responsibility for providing SME guidance for the FCA regulated areas of the business including FCA Conduct of Business, Systems and Controls to the business.
  • Responsible for the preparation of high-quality Compliance submissions for the Board within the business.
  • Attendance to board meetings to present and coordinate items, as required.
  • Maintenance of data on the FCA register and management of changes including standing data, approved persons, appointed representatives, variations of permissions, cancellations of permissions and waivers.
  • Be responsible for the development and implementation of a Compliance framework that enables the provision of compliance advice.
  • Responsible for the guidance and advice to first line investment teams on FCA regulatory requirements.
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