Senior Compliance Manager

GerrardWhite; Remote; GBP 80,000 - 100,000; Full time

Job summary

A financial services company in the United Kingdom is seeking a Senior Compliance Manager to promote compliance with regulations and enhance compliance culture. This largely remote role involves supporting the Director of Compliance, managing regulatory relationships, handling SMCR records, and preparing compliance reports for management. The ideal candidate will have experience in a regulated environment and excellent analytical and communication skills. This position offers a pension scheme, annual leave, and private medical insurance.

Benefits

Pension contribution 5%+ by employee, 10% employer

Opportunity for yearly bonus

Private Medical Insurance

28 days annual leave plus Bank Holidays

Life Assurance 4x annual salary

Qualifications

• Experience in a compliance function within a regulated environment.
• Exposure to Senior Management and EXCO’s.
• Good understanding of 3LOD.

Responsibilities

• Support the Director of Compliance in managing regulatory relationships.
• Manage Group SMCR records and actions.
• Prepare compliance reporting to Boards/Committees.
• Oversee regulatory reporting and applications.
• Review existing Compliance policies regularly.

Skills

Compliance Reporting

Excellent knowledge of FCA/PRA regulation

Strong analytical skills

Excellent verbal and written communication skills

Managing SMCR records

Highly proficient in Microsoft WORD, Excel and PowerPoint

High attention to detail

Problem solving ability

Job description

Overview

The role is largely remote with occasional travel. We are seeking an experienced Senior Compliance Manager to join Tradex and assist the Compliance Function in achieving its core objective of ensuring we comply with all relevant regulations whilst promoting a strong and effective compliance culture.

The role holder is responsible for supporting the Director of Compliance in managing regulatory relationships, SMCR records and regulatory submissions, oversight of Financial Crime activity through the Financial Crime Framework, preparing and reviewing Compliance policies and preparing regular compliance reporting for Management, Boards and Committees.

Key Accountabilities & Responsibilities

• Provide support to executives and the Director of Compliance in managing regulatory relationships through briefings and proactive engagement management.
• Manage Group SMCR records and actions including agreeing and updating Management Responsibilities Map and Statements of Responsibilities.
• Prepare regular compliance reporting to Boards/Committees
• Oversee review and submission of all Regulatory reporting, applications and notifications.
• Prepare Compliance related Group Policies and review existing policies on a regular basis eg: Financial Crime, Whistleblowing.
• Oversee implementation and monitoring of the Governance Risk and Compliance Training Plan.

Skills, Experience & Knowledge

• Experience in a compliance function within a regulated environment
• Exposure to Senior Management and EXCO’s
• Managing SMCR records
• Compliance Reporting
• Excellent knowledge of FCA/PRA regulation
• Excellent verbal and written communication skills
• Good understanding of 3LOD
• Strong analytical skills
• Problem solving ability
• High attention to detail
• Highly proficient in Microsoft WORD, Excel and PowerPoint

Why us?

What we offer in return?

• Pension contribution 5% or more by employee, 10% employer
• Opportunity for yearly bonus
• Private Medical Insurance
• 28 days annual leave plus Bank Holidays
• Life Assurance 4x annual salary