Senior Compliance Manager

Waystone Governance Ltd.; Leeds; On-site; GBP 80,000 - 100,000; Full time

Job summary

A prominent financial compliance firm in the UK is seeking an experienced Senior Compliance Manager to lead the Compliance Advisory & Policy team. This role requires over 10 years of experience in asset management compliance and expertise in managing regulatory matters. The successful candidate will ensure the team's effectiveness, advise on compliance policies, and implement training programs. A strong sense of ethics, communication skills, and integrity are essential as the role involves significant interaction with the business and regulatory bodies.

Qualifications

• Educated to degree level (or equivalent).
• At least 10 years' experience in asset management / investment funds compliance.
• Experience of managing a team.

Responsibilities

• Manage the Compliance Advisory & Policy team.
• Monitor, analyze and provide advice on regulatory changes.
• Ensure compliance organizational practices are effective.
• Manage day-to-day activities of the compliance team.
• Communicate regulatory developments to the business.
• Provide ongoing compliance training and support.

Skills

Integrity and ethics

Communication

Attention to detail

Results focused

Commercial awareness

Customer service

Team management

Team working

Technical awareness

Education

Degree level or equivalent

Post graduate qualifications in FCA regulated business

Job description

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

Summary: Reporting to the Head of Compliance and MLRO, the Senior Compliance Manager will be an integral part of the team's success.

• To manage the Compliance Advisory & Policy team,
• To monitor, analyse and liaise with the business to implement regulatory change/developments/best practice applicable to the business and to advise the business on regulatory matters.
• Maintain and promote effective compliance organisational practices to ensure adherence with applicable regulatory requirements

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Ensure the Compliance Advisory & Policy team has sufficient resources. Effective direct management of the Compliance Advisory & Policy team.
• Ensure the day-to-day activities of the Compliance Advisory & Policy team including required sign-offs and approvals are undertaken in a timely manner (and as specified in the Compliance policies and procedures).
• Ensure that effective advice is provided on compliance matters and regulatory change and that relevant compliance policy and controls are created, managed and communicated effectively.
• Ensure that regulatory developments are monitored and their relevance and impact is communicated to the business.
• Advise the business on regulatory matters around the launch of new funds, changes to and the closure/merger of existing funds (including liaison with the Product team and their communications with the Regulator/Depositary).
• Provision of advice and guidance to the business on Compliance policies and procedures
• Assist and support the Head of Compliance in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
• Assist and support the Head of Compliance as required.

REQUIREMENTS

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Strong sense of integrity and ethics
• Communication
• Attention to detail
• Results focused
• Commercial awareness
• Customer service
• Team management
• Team working
• Technical awareness

Experience:

• Educated to degree level (or equivalent)
• At least 10 years' experience in asset management / investment funds compliance
• Experience of managing a team

Education:

• Educated to degree level (or equivalent)
• At least 10 years' experience in asset management / investment funds compliance
• Experience of managing a team
• Ideally with post graduate qualifications relevant to FCA regulated business.