Compliance Manager

£55,000 - £65,000
22 Feb 2018
24 Mar 2018
Job Sector
Banking, Compliance
Job Function
Experience Level
Contract Type

Our client has a fantastic opportunity for a Compliance Manager to join their Market Services team based in Beckenham. This is great opportunity for a Compliance Manager, with solid Compliance experience within an FCA regulated environment, to oversee the Compliance function and assist the business with completion of their annual plan, ensuring it dovetails with the Compliance Plan, with the appropriate risk-ranking and prioritisation given. 

This Client does not provide sponsorship.

Key responsibilities include:

  • Overseeing and assisting the business with completion of their annual plan, and ensuring it dovetails with the Compliance Plan, with the appropriate risk-ranking and prioritisation given
  • Identifying, monitoring and assessing compliance breaches, complaints and incidents and ensure that these have been reported and responded promptly by the business and relevant stakeholders
  • Creating and maintaining a compliance culture within the business
  • Provide coaching and guidance to other team members, ensuring that work is delivered to plan
  • Remaining up to date with all regulatory developments, analysing and assessing the implications for the businesses and ensuring that all regulated business activities are in line with FCA rules
  • Completing gap analysis’ and recommending/implementing relevant changes including update of Compliance policies and monitoring plans, providing timely and accurate updates to relevant stakeholders
  • Assisting the Head of Compliance as required, including attendance at any of the Governance Forum
  • Reviewing all marketing and advertising to ensure all such items comply with the FCA requirements on Financial Promotions and Treating Customers Fairly principles
  • Reviewing the Compliance and other manuals, and internal policies to ensure these are up to date and fit for purpose
  • Assisting the business/compliance function in preparing for FCA and other external visits
  • Essential:
  • Solid relevant experience in compliance, working within FCA regulatory framework
  • 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 key 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
  • Strong computer literacy with a solid knowledge of Microsoft Word/Excel
  • Willingness to study for additional compliance qualifications (e.g. Compliance Diploma)
  • Knowledge of MiFID II
  • Proven track record of managing and implementing regulatory change in an FCA regulated business

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