Compliance Manager - Advisory - Investment Management

ZipRecruiter; City Of London; On-site; GBP 70,000 - 80,000; Full time

Job summary

A financial services firm is seeking a skilled Compliance Manager to oversee compliance processes and ensure adherence to regulations. The ideal candidate will have a robust understanding of FCA rules and experience in compliance management. This position offers a salary of circa £75,000 and the chance to advance your career in a structured environment in London.

Qualifications

• Proven experience as a Compliance Manager in the financial services sector.
• Strong understanding of FCA regulations.

Responsibilities

• Provide proactive service on FCA's rules and relevant regulatory issues.
• Conduct impact assessments and gap analyses for new FCA initiatives.
• Lead regulatory change and contribute to business projects.
• Champion local Consumer Duty and Product Governance.
• Handle compliance for SMCR and TC.
• Improve compliance policies and ensure embedding.
• Deliver compliance training for staff.

Skills

Ability to interpret complex regulations

Experience in regulatory change

Job description

Overview

The Compliance Manager will oversee and strengthen compliance processes within the financial services industry, ensuring adherence to regulatory frameworks.

Client Details: Mid-sized investment management firm.

Responsibilities

• To provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules (and any other relevant regulatory or legal issues that may apply).
• To provide impact assessment and gap analysis for any new FCA initiatives.
• Contribute to and take the lead in regulatory change and business change projects as required.
• 'Local' Consumer Duty and Product Governance Champion/SME for Compliance and Compliance lead for Vulnerable Customers.
• Compliance lead for SMCR and TC.
• Maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure the embedding of said policies.
• Coordinate and deliver Compliance training, including induction training.

Profile

• A successful Compliance Manager should have: Ability to interpret complex regulations and relay them practically to the business.
• Experience in interpretation and implementation of regulatory change within a business environment.

Offer

Circa £75,000 equivalent salary, dependant on experience. Opportunity to work within a structured and professional environment in London. Chance to advance your career in the financial services industry. If you are an experienced Compliance Manager looking to make an impact, we encourage you to apply for this exciting opportunity in London.