Compliance Manager

Castlefield; Manchester; On-site; GBP 40,000 - 80,000; Full time

Job summary

An established industry player is seeking a Head of People and Improvement to lead risk and compliance efforts. This role is crucial in overseeing risk management strategies and ensuring compliance with regulatory standards. The ideal candidate will possess a strong background in compliance within the Wealth Management sector, with an emphasis on Consumer Duty and sustainability disclosures. Join a dedicated team committed to ethical investing and personalized service, and contribute to maintaining high compliance standards while fostering continuous improvement across the organization.

Benefits

Flexible Working Hours

Employee Ownership

Professional Development Opportunities

Health and Wellness Programs

Qualifications

• Experience in compliance within the Wealth Management sector.
• Strong understanding of Consumer Duty and regulatory requirements.

Responsibilities

• Conduct client file checks for regulatory adherence.
• Assist in compliance monitoring and prepare reports for the Board.
• Liaise with Risk Champions to implement risk strategies.

Skills

Compliance Monitoring

Risk Management

Analytical Skills

Problem-Solving

Organizational Skills

Education

CFA or CISI Level 4

Tools

Pershing

Nexus

Job description

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Chartered FCIPD, Head of People and Improvement

ABOUT US

We're Castlefield, an award-winning, employee-owned investment management and financial planning business with a reputation for being at the forefront of ethical investing. We are known as ‘The Thoughtful Investor’.

Our dedicated team is committed to achieving dependable long-term growth through independence and innovation, respect and responsibility. As an employee-owned business, we make sure that everything we do reflects not only the values we share as co-owners of our own business, but the principles that are important to our clients too. All delivered via a service which is as personalised and accessible as each of our clients wants it to be.

ABOUT THE ROLE

We are now looking for an experienced Risk & Compliance specialist who can join the team to cover maternity leave for up to 18 months.

The successful candidate will support the Head of Risk and Compliance in overseeing risk management strategies and ensuring our compliance with regulatory requirements.

To be successful in this role you must have compliance experience within the Wealth Management sector, have a good understanding Consumer Duty and be able to identify trends and action points as a result of the compliance monitoring activities to support our work in maintaining high compliance standards and achieving good consumer outcomes. If you are familiar with the Sustainability Disclosure Requirements (SDR) that would be very desirable.

Responsibilities:

• Provide ad hoc assistance in respect of Compliance and Risk related queries on Investment Management and Financial Advice, received by the Compliance team.
• Conduct Client file checks to ensure adherence to regulatory requirements
• Assist in the completion of the Compliance Monitoring Programme activities and where appropriate, make recommendations for change, agree remedial actions and participate in the ‘troubleshooting’ meetings
• Prepare MI for reporting to the Board and the FCA as required
• Undertake compliance checks on communications, including financial promotions, in line with FCA rules
• Trade monitoring and oversee the reconciliation of transaction reporting
• Assist with Fund reporting to the ACD (Liaising with Fund Managers)
• Assist with Due Diligence or Audits where required
• Liaise with the Risk Champions in the business to implement the risk management strategy and maintain the risk register
• Assist with the management of compliance notifications and registers including; Personal Account Dealing, Inside Information notifications, Conflicts of Interest and Complaint handling
• Assist with oversight of T&C scheme and Supervision meetings
• Assist with Compliance and Risk policy maintenance

To succeed in this role you will:

• Have industry recognised qualifications, CFA or CISI or equivalent. Minimum Level 4
• Good working knowledge of compliance monitoring.
• Experience working in a regulatory/compliance role. (Investment/Fund Management is desirable)
• Ability to work independently with a keen eye for detail
• Strong analytical and problem-solving skills
• Pride yourself on your organisational skills including managing multiple conflicting priorities
• Have working knowledge of Pershing / Nexus
• Ability to build and relationships at all levels of the business to deliver continuous improvement

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Temporary

Job function

• Job function

  Legal

• Industries

  Investment Management

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