Risk & Compliance Manager - maternity cover ( up to 18 months)

Castlefield; Manchester; Hybrid; GBP 40,000 - 48,000; Full time

Job summary

Join a forward-thinking investment management firm as a Risk & Compliance Manager. This role offers the chance to oversee compliance and risk management strategies while ensuring adherence to regulatory requirements. You'll work closely with a dedicated team to maintain high compliance standards and contribute to a culture of ethical investing. With a commitment to employee involvement and a supportive work environment, this position provides a unique opportunity to grow your skills and make a meaningful impact in the industry.

Benefits

Contributory pension scheme

Up to 30 days of holiday + bank holidays

Employee Referral Scheme

Wide range of retail discounts

Regular social and charity events

Hybrid and flexible work opportunities

NHS Top Up scheme

Professional membership fees paid

Qualifications

• Experience in a regulatory/compliance role, ideally in Investment/Fund Management.
• Strong knowledge of Consumer Duty and compliance standards.

Responsibilities

• Conduct compliance checks and prepare reports for the Board and FCA.
• Assist in compliance monitoring and risk management strategy.

Skills

Compliance Monitoring

Analytical Skills

Problem-Solving

Organizational Skills

Attention to Detail

Education

CFA or CISI Level 4

Tools

Pershing

Nexus

Job description

Risk & Compliance Manager

THE ROLE

Team: Risk & Compliance

Reports to: Head of Risk & Compliance

Location: Manchester, 111 Piccadilly, M1 2HY

Hours: Full-time (36.25 pw)

Timescales: up to 18 months contract

Planned start date: asap

Salary: Band D - up to £48,000

ABOUT US

We're Castlefield, an award-winning, employee-owned investment management and financial planning business with a reputation for being at the forefront of ethical investing. We are known as 'The Thoughtful Investor'.

Our dedicated team is committed to achieving dependable long-term growth through independence and innovation, respect and responsibility. As an employee-owned business, we make sure that everything we do reflects not only the values we share as co-owners of our own business, but the principles that are important to our clients too. All delivered via a service which is as personalised and accessible as each of our clients wants it to be.

ABOUT THE ROLE

We are now looking for an experienced Risk & Compliance specialist who can join the team to cover maternity leave for up to 18 months.

The successful candidate will support the Head of Risk and Compliance in overseeing risk management strategies and ensuring our compliance with regulatory requirements.

To be successful in this role you must have compliance experience within the Wealth Management sector, have a good understanding Consumer Duty and be able to identify trends and action points as a result of the compliance monitoring activities to support our work in maintaining high compliance standards and achieving good consumer outcomes. If you are familiar with the Sustainability Disclosure Requirements (SDR) that would be very desirable.

Responsibilities:

• • Provide ad hoc assistance in respect of Compliance and Risk related queries on Investment Management and Financial Advice, received by the Compliance team.
  • Conduct Client file checks to ensure adherence to regulatory requirements
  • Assist in the completion of the Compliance Monitoring Programme activities and where appropriate, make recommendations for change, agree remedial actions and participate in the 'troubleshooting' meetings
  • Prepare MI for reporting to the Board and the FCA as required
  • Undertake compliance checks on communications, including financial promotions, in line with FCA rules
  • Trade monitoring and oversee the reconciliation of transaction reporting
  • Assist with Fund reporting to the ACD (Liaising with Fund Managers)
  • Assist with Due Diligence or Audits where required
  • Liaise with the Risk Champions in the business to implement the risk management strategy and maintain the risk register
  • Assist with the management of compliance notifications and registers including; Personal Account Dealing, Inside Information notifications, Conflicts of Interest and Complaint handling
  • Assist with oversight of T&C scheme and Supervision meetings
  • Assist with Compliance and Risk policy maintenance

To succeed in this role you will:

• • Have industry recognised qualifications, CFA or CISI or equivalent. Minimum Level 4
  • Good working knowledge of compliance monitoring.
  • Experience working in a regulatory/compliance role. (Investment/Fund Management is desirable)
  • Ability to work independently with a keen eye for detail
  • Strong analytical and problem-solving skills
  • Pride yourself on your organisational skills including managing multiple conflicting priorities
  • Have working knowledge of Pershing / Nexus
  • Ability to build and relationships at all levels of the business to deliver continuous improvement

WHY JOIN US?

We offer a great work environment along with other benefits:

• • Develop your technical knowledge and interpersonal skills
  • Opportunity to be part of an employee-owned business which values employee involvement and commitment
  • Real Living Wage Employer
  • We are serious about our commitment to Net Zero
  • Required professional membership fees paid for
  • Opportunity to win quarterly CORE Awards
  • Our values are foundations of what and how we do things here
  • Contributory pension scheme
  • Up to 30 days of holiday + bank holidays
  • Employee Referral Scheme
  • Wide range of retail discounts
  • Regular social and charity events held in our office
  • Hybrid and flexible work opportunities
  • NHS Top Up scheme

THE SELECTION PROCESS

Please submit your cover letter along with your most up-to-date CV/link to your LinkedIn profile and tell us why you think you might want to work for us, how your values are aligned with ours, what your plans are for the future and how we can help you get there.

Please note that applications without cover letter will not be considered for this role.

If you have any issues or questions regarding this role, please reach out to Ewelina Niziolek-Wilson, Head of People & Improvement at [email protected]

We are an equal-opportunity employer. We encourage applications from candidates of all backgrounds and experiences. We thank all applicants for their interest, but only those selected for an interview will be contacted.