Regulatory Compliance Manager
REGULATORY COMPLIANCE MANAGER
LONDON – 3 DAYS A WEEK WORK FROM HOME
UP TO £60,000 + PROGRESSION + FANTASTIC BENEFITS
My client are a market leading Compliance Consultancy who support their clients across the financial services sector.
They work with some fantastic clients ranging from SMEs and start ups to large corporates! Due to continued success and expansion, they are now looking for an experienced Regulatory Compliance Manager to join their Investments team.
As the Regulatory Compliance Manager you will be delivering compliance solutions to a range of Appointed Representative firms through its regulated principal firm.
This is a fantastic opportunity for an individual from a Senior Compliance Associate / Compliance Consultant / Compliance Manager / Investment Compliance Manager role within Regulatory Compliance who is looking to join a growing, forward-thinking business who offer excellent career progression!
Advising and consulting senior stakeholders on the firms regulatory obligations and how they should be met
Drafting policies, procedures and reports as required
Producing reports for internal and external use on FCA policy
Plan, schedule and execute supervisory visits of appointed representative firms
Providing detailed audit reports
Ensuring required audit actions are tracked through to completion
Implementing any requirements of FCA rules and regulations relating to appointed representative firms
Documenting and implementing changes to the governance plan/activity in line with FCA rules and regulations
Providing technical support and guidance to clients and the wider team
Maintaining up to date knowledge of FCA regulatory rules including Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and other areas applicable to AIFMD and MiFID
Key Skills & Experience:
Ideally from a Senior Compliance Associate / Compliance Consultant / Compliance Manager / Investment Compliance Manager role within Regulatory Compliance
Advanced understanding of FCA Handbook including SYSC, COBS, CONC, SUP and DISP
QCF Level 4
Experience or background in audit, monitoring or supervision of regulated investment firms
Excellent communication and time management skills at all levels
Excellent administration and telephone skills
An organised individual who can work under pressure and produce work to the standard required
Computer literate and aptitude in Microsoft Office
APPLY NOW: Interviews for this position are available immediately, so please apply ASAP to avoid disappointment.
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