Compliance Manager (Monitoring)

Blue Octopus Recruitment Limited; Leeds; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading asset management firm in Leeds is seeking a Compliance Monitoring Manager to ensure effective compliance monitoring and provide guidance on regulatory requirements. The ideal candidate will be professionally qualified with experience in compliance management, regulatory risks, and anti-financial crime. The role offers competitive pay and excellent benefits, including health insurance and hybrid working options.

Benefits

Health insurance

Generous holiday allowance

Professional development opportunities

Pension scheme

Onsite gym

Qualifications

• Professionally qualified (e.g., CISI, IA compliance, financial crime diploma) or equivalent experience.
• Internal Audit qualification or equivalent experience.
• Experience in managing compliance and conduct monitoring programs.
• Experience in surveillance of trading activity, market abuse controls, and MI reporting.
• High integrity and trustworthiness.
• Skilled in performing thorough reviews following established methodologies.
• Good knowledge of regulatory requirements for institutional investment managers, including anti-money laundering and financial crime.
• Practical knowledge of institutional Investment Management.

Responsibilities

• Supporting the Head of Compliance and MLRO in their SMF16 and SMF17 responsibilities.
• Developing and maintaining a risk-based Compliance Monitoring Plan.
• Supporting risk management oversight of regulatory risks.
• Supporting the review of anti-Financial Crime policies.
• Maintaining a positive relationship with the UK Financial Conduct Authority.
• Promoting a positive regulatory risk and compliance culture.

Job description

At this time, we are unable to offer sponsorship for UK work visas. Therefore, applicants must have the right to work permanently in the UK without the need for visa sponsorship.

Full time, 37.5 hours per week (we welcome flexible working discussions)

An opportunity to make a difference

At Border to Coast, our purpose is to make a difference. The Compliance team is now looking to recruit a Compliance Monitoring Manager. The delivery of the compliance monitoring plan is a key regulatory requirement, and this is an exciting opportunity to contribute to Border to Coast.

As a customer-owned and customer-focused organization, integrity is one of our core values, along with our collaborative and sustainable approach. Our focus is to secure the pensions of over a million people who have provided valuable service to their communities and society. We’re a £60bn asset manager, the largest UK asset manager outside London or Edinburgh, providing innovative investments that deliver sustainable long-term returns.

The Risk and Compliance teams act as the second line oversight function across the company. The compliance team supports and oversees regulatory requirements, delivers monitoring outputs as per the Board Risk Committee plan, and reports regularly on regulatory and conduct risk management.

We’re now looking for a Compliance Manager responsible for ensuring effective compliance monitoring, providing ongoing guidance and support to the business.

The role – what you’ll be doing

• Supporting the Head of Compliance and MLRO in their SMF16 and SMF17 responsibilities, and overseeing compliance with FCA and AIFMD regulations.
• Developing and maintaining a risk-based Compliance Monitoring Plan for review and approval by the Board Risk Committee.
• Supporting risk management oversight of regulatory risks, setting priorities for compliance reviews.
• Supporting the review of anti-Financial Crime policies and procedures.
• Maintaining a positive relationship with the UK Financial Conduct Authority and the Depositary.
• Promoting a positive regulatory risk, compliance, conduct, and anti-financial crime culture within Border to Coast.

About you - and the value you’ll bring to our team

• Professionally qualified (e.g., CISI, IA compliance, financial crime diploma) or equivalent experience.
• Internal Audit qualification or equivalent experience.
• Experience in managing compliance and conduct monitoring programs.
• Experience in surveillance of trading activity, market abuse controls, and MI reporting.
• High integrity and trustworthiness.
• Skilled in performing thorough reviews following established methodologies.
• Good knowledge of regulatory requirements for institutional investment managers, including anti-money laundering and financial crime.
• Practical knowledge of institutional Investment Management.

Why join Border to Coast?

We offer competitive pay and excellent benefits, including health insurance, generous holiday allowance, professional development opportunities, pension scheme, hybrid working, onsite gym, and more. Details are available on our website.

We welcome applications from diverse backgrounds and experience levels, committed to creating an inclusive workplace. We support reasonable adjustments during our selection process for applicants with disabilities or conditions affecting their performance.