Senior Compliance Manager

IG Group; City Of London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A leading FinTech company in London seeks a Senior Compliance Manager with over 7 years of experience in compliance. The role involves advising on regulatory requirements and ensuring adherence to FCA regulations, particularly focusing on Consumer Duty. Candidates should have strong stakeholder management skills and a solid background in financial services. This position offers growth opportunities and a 12% flexible benefits allowance.

Benefits

Company bonus programme

12% flexible benefits allowance

Qualifications

• 7+ years of experience in a senior generalist compliance role.
• Solid background in financial services, particularly with leveraged trading.
• Strong understanding of FCA regulations applicable to retail investments.

Responsibilities

• Advising on regulatory requirements for marketing campaigns.
• Providing advice to product teams on new/modified products.
• Delivery of ongoing training to business and compliance teams.

Skills

Senior generalist compliance

Financial services knowledge

FCA regulations understanding

Excellent stakeholder management

Strategic thinking

Job description

Job Title: Senior Compliance Manager

Job Description

Who are we?

Hello, we're IG Group. We are a publicly-traded FTSE250 FinTech company who run mobile, web and desktop platforms that help our clients trade stocks & shares, leveraged products, Futures & Options and Crypto. We are ambitious. Over 340,000 people already use our platforms. We're global with offices in 18 countries and products in 16 regions.

We work in cross-functional teams and are laser focused on increasing the number of active clients we serve to drive sustainable growth.

What's the role?

The Compliance Manager role supports the UK division with designing and implementing its commercial strategy, by highlighting risks, issues and compliant solutions to business proposals and creating efficient and commercially-sensitive engagement between the business and compliance teams.

Reporting into the Head of Advisory Compliance, you will work autonomously with UK Division stakeholders, UK Compliance colleagues and IG's Group-level functions (Trading & Operations, Finance, HR, Risk, Legal) to deliver a sustainable and compliant business model.

What will you do?

• Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
• Providing advice to the product teams on introduction of new and adaptations to existing products
• Advising all parts of the business on its obligations under the Consumer Duty and application of its principles and outcomes.
• Development and deployment of relevant compliance policy, and associated control frameworks necessary to ensure regulatory compliance and adherence to policy.
• Delivery of ongoing training to the UK divisional business, UK compliance team and other stakeholders as required.
• Assisting Compliance Assurance with monitoring activity as required e.g. client communications.
• Attending Client Money and Assets Committee and assisting in client money advisory matters.
• Reviewing Operational Risk Events for indications of regulatory breaches.
• Managing high-value, and or complex complaints. This encompasses ultimate responsibility for the drafting and submission on a timely basis of the response to the complaint.
• Providing strategic advice on the approach to the ombudsman in response to high-value or precedent-setting complaints within regulatory timelines
• Advising on Financial Promotions compliance, acting as a first point of contact for the marketing teams and leadership.

What will you need for this role?

• 7+ years of experience in a senior generalist compliance role
• Solid background in financial services with good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments.
• Strong understanding of the FCA regulations applicable over retail investments, particularly the Consumer Duty, COBS, and DISP.
• Familiarity with UK regulation and regulatory framework, and other handbook areas such as Client Money & Assets, Product Governance, Training & Competence, SMCR & FIT.
• Bonus is you have Financial Promotions experience
• Excellent stakeholder management and communication skills across all levels of the organisation
• Proven ability to demonstrate strategic thinking with a proactive and solutions-focused approach

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We're committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, that's why we encourage applications from people with diverse backgrounds and experiences to join us on this journey.

This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar. You'll also be included in our company bonus programme and receive 12% flexible benefits allowance.