Compliance, Senior Manager (London based)

CBRE; London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading global real estate services firm based in London is looking for a Senior Manager - Compliance to lead compliance-focused activities and manage stakeholders. The role includes overseeing compliance with financial regulations and ensuring the identification of conflicts of interest. Ideally, candidates will have a strong background in financial services and a commitment to high professional standards.

Benefits

Support and resources from a global firm

Challenging work and fast-paced assignments

Commitment to continuous learning

Qualifications

• Background in financial services or consultancy.
• 2LOD Compliance experience in FCA regulated entity.
• Experience engaging stakeholders to develop action plans.

Responsibilities

• Lead UK Conflicts of Interest and Information Barrier Advisory programs.
• Guide assessment of complex compliance issues.
• Produce regular regulatory reporting to RICS, HMRC, and FCA.

Skills

Strong Analytical Skills

Excellent Communication Skills

Organisational Proficiency

Team Collaboration

Job description

This job is brought to you by Jobs/Redefined, the UK's leading over-50s age inclusive jobs board.

Senior Manager - Compliance

London based

About the role

As Senior Manager - Compliance, you will be leading Compliance focussed activities that requires ownership, leadership and an ability to manage stakeholders across various levels.

This job is part of the Risk & Compliance team that supports the UK Advisory business, which is responsible for oversighting and upholding appropriate standards, rules and regulations given the complex regulatory landscape that the UK Advisory business is exposed to. Partner and support the Director Risk in priority activity.

What you will be doing:

Control Room:

• Lead the execution of the UK Conflicts of Interest program and the Information Barrier Advisory program.
• Lead the identification, documentation and management of conflicts of interest across various touchpoints including Gifts and Entertainment, Personal Account Dealing, Procurement and Client contracts etc.
• Support the Advisory Conflicts Committee with advice, guidance and challenge.
• Ensure identification and management of conflicts of interest according to RICS and FCA standards.

Projects:

• Guide the assessment and resolution of complex compliance issues with business stakeholders.
• Partner with functional management (Legal, COO, Finance, etc.) to address compliance risks and issues within regulatory frameworks.
• Liaise with Regulators, Internal / External Audit, and Ombudsmen on compliance issues and oversee remediation efforts.
• Ensure compliance considerations are integrated into business initiatives.

Financial Promotions:

• Working with the business to ensure compliance with Financial Promotions regulations.

Senior Manager Certification Regime (SMCR):

• Lead the execution of the SMCR adherence and support the embedding of appropriate working practices.

Regulatory Change/Horizon/Mapping:

• Develop a multi-year Compliance Traceability Program focusing on RICS, FCA and HMRC, ensuring documentation is created to map controls to regulatory and legislative expectations across all business lines.
• Ensure adherence to RICS and FCA regulations organisation-wide where possible.
• Collaborate with Global Ethics & Compliance teams to implement Compliance Advisory programs in the UK.
• Ensure all teams understand their compliance responsibilities under RICS, HMRC and FCA frameworks.
• Maintain and evolve the compliance advisory framework including horizon scanning,
• Manage and respond to local regulatory audits and visits, and track and support findings and actions through to completion in line with ISO9001.

Training

• Partner with stakeholders to enhance compliance processes and controls, providing targeted training where required.
• Develop and deliver annual specific Conduct related training to the Certified population for our FCA regulated entity.
• Assist the Senior Director Risk & Compliance in policy development and compliance training.

Regulatory Reporting:

Produce and submit all regular regulatory reporting to the RICS, HMRC and FCA.

What you will need:

• Strong Analytical Skills: Demonstrated ability to scrutinise and assess compliance controls with meticulous attention to detail.
• Organisational Proficiency: Exceptional multitasking ability and highly organised work style. Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders
• Work Ethic: A commitment to high standards and professional integrity. Promote a culture of continuous improvement and professional development within the compliance team.
• Excellent Communication Skills: Proficient in both oral and written communication, with the ability to convey complex compliance concepts clearly. Ability to challenge business management and escalate issues when appropriate
• Team Collaboration and Autonomy: Ability to work collaboratively while also independently driving initiatives.

Essential Experience:

• Strong communication and interpersonal skills; strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Background in financial services, consultancy, or audit roles supporting financial clients, with a comprehensive understanding of industry best practices and regulatory frameworks, particularly related to conflicts of interest.
• 2LOD Compliance experience in supporting an FCA regulated entity
• Conflict management and or leading control room activity ensuring pragmatic solutions.
• Regulatory traceability / Horizon scanning
• Experience engaging with diverse stakeholders to develop action plans and ensure their timely execution, driving necessary changes proactively.
• Skilled in producing and presenting management information that informs decision-making processes.
• Ability to cultivate strong working relationships across all organisational levels.
• Competence in synthesizing information from various sources and distilling key insights for diverse audiences.
• Significant knowledge of RICS regulations, FCA Handbook, risks and appropriate controls.

Working at CBRE

When you join CBRE you will have the support and resources of a global firm where an entrepreneurial mind-set is encouraged. You'll realize your potential with challenging work, fast-paced assignments, an environment of constant learning and commitment to results. To enable your success, we provide the best tools, training and leaders in the industry.

Our collaborative culture is built on our RISE values and reflects the needs and perspectives of our clients and our people. Our work is guided by our North Star: Creating the real estate solutions of tomorrow, so businesses and people thrive. This informs everything we do-from diversity, equity, and inclusion to sustainability initiatives to workplace safety and wellbeing.

At CBRE, we believe that the more perspectives we have, the more dimensions we see. We welcome people with different backgrounds and experiences across industries to apply for open positions even if you do not match every element of the required skills. To discover more about what it's like to work at CBRE, visit Life at CBRE

About CBRE

CBRE Group, Inc. (NYSE:CBRE), a Fortune 500 and S&P 500 company headquartered in Dallas, is the world's largest commercial real estate services and investment firm (based on 2024 revenue). The company has more than 140,000 employees (including Turner & Townsend employees) serving clients in more than 100 countries. CBRE serves a diverse range of clients with an integrated suite of services, including facilities, transaction and project management; property management; investment management; appraisal and valuation; property leasing; strategic consulting; property sales; mortgage services and development services. Please visit our website at www.cbre.com.

Equal Opportunities

We are an equal opportunities employer and do not discriminate on the grounds of gender, sexual orientation, marital or civil partner status, pregnancy or maternity, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age. For information about accommodations we can make during the recruitment process, please visit: https://www.cbre.co.uk/careers/accommodations

At CBRE, we are committed to fostering a culture where everyone feels they belong. We value diverse perspectives and experiences, and we welcome all applications.