Senior Compliance Manager
A growing, London based diversified financial services group specialising in Regulatory Hosting and Umbrella Solutions to a broad range of Financial Services firms is currently recruiting for a Senior Compliance Manager on a full time, permanent basis.
The firm provide a comprehensive and flexible regulatory hosting umbrella for arrangers, advisors and funds, for start-ups/mature businesses, fin-techs and financial services firms. Their “plug in and play” services and facilities allows them to have key partnerships with leading vendors, professional advisors, and prime brokers essential for branding and comfort for third party stakeholders and investors alike.
Through a combination of Appointed Representatives and Controlled Functions/Approved Persons, they can facilitate requirements in the most efficient and compliant manner possible.
- Assisting in the design and implementation of the compliance monitoring programmes
- Assisting in the supervision and direction of staff deployed in compliance related role.
- Assisting in the design and implementation of compliance related policies and procedures
- Assisting in the design and implementation of training and continuing professional development requirements
- Reviewing legal agreements and providing comments to in-house counsel
- Reviewing and approving marketing materials in line with FCA rules
- Reviewing and approving the client onboarding journey with respect to KYC, appropriateness and suitability
- Reviewing the Appointed Representative’s (AR) business plan as part of the onboarding process and on a 6 monthly basis thereafter
- Carrying out face-to-face compliance inductions and associated approved persons
- Carrying out monthly and quarterly monitoring of the AR
- Being 2nd contact point for compliance matters and support to the business and ARs as required
- Keeping abreast of and updating the business as required on regulatory changes that affects the business and the ARs business and implementing them/ensuring they are implemented
- Assisting in responding to FCA queries
- Carrying out bi-annual supervisory visits of ARs
- Filing AIF applications with the FCA for registration and termination of an AIF
- Assisting in the coalition and documentation of compliance management information for monthly/quarterly reports at board level
This is an exciting opportunity to join a growing business who will offer the successful candidate an opportunity to develop their skills further within a dynamic and rewarding environment.
Desired Skills & Experience
The ideal candidate will be appropriately professionally qualified, have extensive generalist Compliance experience from a Financial services background (preferably Investment, Asset, Broking, or Fund Management house) and have strong regulatory experience.