Compliance Manager - Ventures UK & Unitas

Apex Group Ltd.; City of Westminster; On-site; GBP 70,000 - 90,000; Full time

Job summary

A global financial services provider is seeking a Compliance Officer to drive the compliance function and develop a risk-based compliance management framework. Candidates should have over 8 years of relevant experience, ideally with custody knowledge in financial services. The role involves preparing compliance reports, advising management on regulations, and managing relationship with stakeholders. This position offers the opportunity to work in a dynamic environment with a large international workforce.

Qualifications

• Minimum 8+ years in a similar role.
• Ideally with previous Custody experience within Financial Services.
• Deep understanding of industry laws, regulations, and standards required.
• Ability to analyze complex information and identify compliance risks.
• Familiarity with technology and relevant software necessary.

Responsibilities

• Assist in developing a risk-based compliance framework.
• Prepare reports on compliance and regulatory issues for management.
• Respond to enquiries from regulators, auditors, or clients.
• Advise on regulations and policies affecting the business.
• Liaise with external parties like auditors and regulators.

Skills

Analytical & Problem-Solving

Risk Management

Data Analysis

Technology Proficiency

Excellent Communication

Organizational Skills

Leadership Skills

Attention to Detail

Job description

Overview

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.
• Assist with the development and implementation of 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 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.
• Prepare / review RegData / Connect reports for submission.
• Assist in business and client queries related to FATCA/CRS and support with submissions.
• Respond to ad-hoc requests received in the compliance inbox such as external due diligence questionnaires.
• Manage and support team members and allocated staff.

Qualifications & Requirements

• Minimum 8+ years in a similar role
• Ideally with previous Custody experience within Financial Services
• Regulatory Knowledge: A deep understanding of industry laws, regulations, and standards is essential for ensuring organizational adherence.
• Analytical & Problem-Solving: The ability to analyze complex information, identify compliance risks, and devise effective, practical solutions is crucial.
• Risk Management: Developing and implementing strategies to assess and mitigate potential compliance and regulatory risks is a core function.
• Data Analysis: The ability to collect, interpret, and use data to inform compliance strategies is increasingly important.
• Technology Proficiency: Familiarity with technology and relevant software is necessary for managing and automating compliance processes.
• Key Soft Skills: Excellent written and verbal communication, strong organizational skills, leadership and people skills, integrity and ethics, adaptability, and attention to detail.

About Apex

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 Officer - Depository and Custody Compliance

Disclaimer

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.