Compliance Manager - Ventures UK & Unitas

Apex Group Ltd; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A global financial services provider in London is seeking a Compliance Officer to ensure adherence to regulations across its depository and custody businesses. The ideal candidate will have over 8 years of experience in compliance, preferably in financial services. Responsibilities include developing compliance frameworks, advising management, and building stakeholder relationships. This role offers opportunities for career growth within a dynamic team.

Qualifications

• Minimum 8+ years in a similar role.
• Ideally with previous Custody experience within Financial Services.

Responsibilities

• Develop and implement a risk-based compliance framework.
• Prepare and present reports on compliance issues for management.
• Advise senior management on regulations affecting the business.
• Keep abreast of regulatory developments and industry standards.

Skills

Compliance regulations understanding

Analytical skills

Risk management

Data analysis

Communication

Organization

Leadership

Integrity

Attention to detail

Job description

Overview

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 reaches globally, services locally, and provides cross-jurisdictional services. With our clients at the heart of everything we do, our team has grown to over circa 13,000 employees across 112 offices worldwide. Your career with us should reflect your energy and passion. At Apex Group, we aim to empower and supercharge your skills, giving you the freedom to turn big ideas into bold, industry-changing realities.

For our business, for clients, and for you

Role

Compliance Officer – 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.

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.
• Develop 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 and supporting 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.

Qualifications

• Minimum 8+ years in a similar role.
• Ideally with previous Custody experience within Financial Services.

Regulatory Knowledge

Regulatory Knowledge: A deep understanding of industry laws, regulations, and standards is essential for ensuring organizational adherence.

Analytical & Problem-Solving

Analytical & Problem-Solving: The ability to analyze complex information, identify compliance risks, and devise effective, practical solutions is crucial.

Risk Management

Risk Management: Developing and implementing strategies to assess and mitigate potential compliance and regulatory risks is a core function.

Data Analysis

Data Analysis: The ability to collect, interpret, and use data to inform compliance strategies is increasingly important.

Technology Proficiency

Technology Proficiency: Familiarity with technology and relevant software is necessary for managing and automating compliance processes.

Key Soft Skills

• Communication: Excellent written and verbal communication skills are needed to explain complex regulatory requirements to various stakeholders.
• Organization: Strong organizational skills are necessary to manage multiple tasks, maintain records, and ensure comprehensive compliance efforts.
• Leadership & People Skills: Leading by example, collaborating effectively with different departments, and building positive relationships are vital for fostering a compliance culture.
• Integrity & Ethics: A strong ethical foundation and a commitment to high standards are fundamental for upholding the organization's integrity.
• Adaptability: The ability to stay current with rapidly changing regulations and adapt to new laws is crucial for compliance professionals.
• Attention to Detail: Meticulous attention to detail ensures accuracy in policies, reports, and risk assessments, preventing costly errors.

Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.