Compliance Manager

Apex Group Ltd; London; On-site; GBP 45,000 - 85,000; Full time

Job summary

An established industry player is seeking a Compliance Manager for Depository and Custody Compliance. This role offers a unique opportunity to lead compliance initiatives and develop a risk-based compliance management framework. You will engage with regulators, prepare reports for senior management, and ensure adherence to FCA rules. Join a global business that values your skills and provides opportunities for growth and development. This is your chance to make a significant impact in a dynamic environment where your contributions are recognized and valued.

Benefits

Competitive remuneration

Training and development opportunities

Unique opportunity in a global business

Qualifications

• Experience with UK depositary or custody FCA rules is essential.

Responsibilities

• Develop and implement a risk-based compliance framework.
• Prepare and present compliance reports for senior management.
• Advise on regulations affecting the business.

Skills

UK depositary or custody FCA rules

Job description

The Apex Group was established in Bermuda in 2003 and is now one of the world's largest fund administration and middle office solutions providers.

Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide. Your career with us should reflect your energy and passion.

That's why, at Apex Group, we will do more than simply 'empower' you. We will work to supercharge your unique skills and experience.

Take the lead and we'll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.

Compliance Manager - Depository and Custody Compliance

Reporting directly to the UK Head of Depositary and Custody Compliance, you will help drive the compliance function, develop and implement a risk-based compliance management framework, assist with the management of compliance risk and oversee all regulatory compliance matters across the Depository and Custody businesses within the Apex UK Group of Companies.

Essential experience: UK depositary or custody FCA rules

Key Responsibilities:

• Assist the UK Head of Depositary and Custody Compliance to:
  
  • develop and implement the risk based compliance framework;
  • develop and implement the risk based compliance monitoring programme;
  • prepare and present reports on compliance and regulatory issues for senior management, including board reports and the collation of management information as required;
  • respond to enquiries and information requests from regulators, auditors or clients;
• Advise senior management on regulations and policies which affect the business;
• Keep abreast of industry and regulatory developments, thematic reviews and enforcement actions;
• Represent Compliance in various management and project meetings, committees and new business initiatives;
• Support the wider Apex compliance team on Group initiatives and areas of common interest;
• Establish and maintain good relationships with key stakeholders within the Apex Group and externally as applicable;
• Liaise with external parties such as auditors, regulators, industry bodies and clients;
• Create and maintain local compliance procedures and policies;
• Development and deliver appropriate compliance training to Board members and employees;
• Preparing / review RegData / Connect reports for submission;
• Assisting in business and client queries related to FATCA/CRS & supporting with submissions;
• Responding to ad-hoc requests received in the compliance inbox such as external due diligence questionnaires;
• Manage and support team members and allocated staff.

What you will get in return:

• A genuinely unique opportunity to be part of an expanding large global business;
• Competitive remuneration commensurate with skills and experience;
• Training and development opportunities.