Compliance Manager

London (Greater)
£50,000 - £60,000
22 Sep 2017
22 Oct 2017
Experience Level
Contract Type
Full time, Permanent

The Client- Outsourced business support provider with UK coverage.

This Client does not provide sponsorship.

The role-

  • To oversee and assist the business with completion of their annual plan and ensure it dovetails with the Compliance Plan with the appropriate risk-ranking and prioritisation given
  • To work with and develop other members of the Compliance team who may undertake regulatory change work and other ad-hoc appropriate tasks as required
  • To remain up to date with all regulatory developments, analyse and assess the implications for the CIRGT/CRL businesses
  • To create and maintain a compliance culture within the business, not merely for the benefits it gives, but also for the long-term commercial benefits that flow from running the business ethically
  • To assist the Head of Compliance as required, including attendance at any of the Governance Forums
  • To develop into other Compliance areas, such as advisory and AML either as part of monitoring or as separate standalone pieces of work
  • 1To possess a technical appreciation of the business being controlled as well as a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to Capita, ensuring that CIRGT conducts its regulated business 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 by the business and details of any material breaches are reported to the CEO/Board/FCA on a timely basis as appropriate
  • To remain up to date with all regulatory developments and assessing the implications for the CIRGT/CRL businesses and, where directed, complete a gap analysis and recommend/implement changes including update of Compliance policies and monitoring plans, providing timely and accurate updates to the Head of Compliance, Risk Committee and Board, and Group etc., as appropriate
  • To carry out Compliance monitoring, as directed
  • Where relevant, to review all marketing and advertising to ensure all such items comply with the FCA requirements on Financial Promotions and Treating Customers Fairly principles
  • To provide clear and accurate guidance to the business where queries arise
  • To provide coaching and guidance to other team members ensuring that work is delivered to plan
  • To review the Compliance, other manuals and internal policies to ensure these are up to date and fit for purpose
  • To undertake ad-hoc project work and/or become the Subject Matter Expert in compliance tasks as periodically advised by the Head of Compliance (e.g. advisory and AML)
  • Assist the business/compliance function in preparing for FCA and other external visits

Key Requirements-        

  • Minimum 5 years experience in compliance and working within FCA regulatory framework
  • Either existing qualification or commitment to obtain below qualification within 18 months of commencing role
  • SII Investment Operation Certificate or ICSA CCSP or other equivalent professional qualification covering the following topics: Introduction to Securities and Investments; FCA regulation; and other technical module
  • Knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other Regulators
  • Proven track record of managing tasks and objectives in an efficient and timely manner
  • Experience in interpretation and implementation of regulatory change within a business environment
  • Understanding of CIRGT’s regulated products and services, and the applicable FCA rules (CASS, COBS, FEES, TC, SYSC, DISP, SUP ) and legislative requirements
  • Knowledge of Client Assets, Custody, Dealing, and related technical aspects of the Securities / Asset Management / Stockbroking sectors
  • Strong background in the operational, technical aspects of the securities/and or share registration and employee share plan business
  • Report writing, time management, good people management and team working skills
  • Good background in computer literacy and knowledge of Microsoft Word/Excel
  • Proven track record of managing and implementing regulatory change in an FCA regulated business

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