Compliance Manager

A Compliance Manager is required by a highly successful investment management firm to assist the Head of Compliance in ensuring the company is complying with all relevant legislative and regulatory standards.

The responsibilities of the role will include

• Keeping up to date with relevant laws, regulations, and industry/FCA guidance and practice
• Monitoring the company’s compliance with laws, regulations and its policies
• Overseeing and managing the regulatory team (1 FTE)
• Overseeing the creation, development and maintenance of compliance policies, procedures and registers
• Overseeing thematic reviews and internal audits of company processes and compliance policies
• Assisting with and overseeing company compliance training
• Overseeing completion of regulatory reporting
• Assisting the Head of Compliance with any projects or tasks
• Producing a monthly report for the Head of Compliance

You will be an experienced Compliance specialist that includes both monitoring and oversight. We are open on the exact area of Financial Services where you have gained this experience although are particularly interested in anyone with investment management, wealth management, insurance or mortgages experience. You will also need a high level of attention to detail as well as excellent communication and interpersonal skills.


Salary:£30k - £45k + benefits


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