Senior Compliance Manager – Retail Investment product

Compliance Professionals; City Of London; On-site; GBP 80,000 - 100,000; Full time

Job summary

A financial services broker in the City of London is seeking a seasoned compliance professional. The role involves advising on product compliance, managing regulatory obligations, and providing training across teams. Candidates should possess over 7 years of experience in compliance with strong knowledge of FCA regulations, especially in retail investments. Excellent communication skills and strategic thinking are essential.

Qualifications

• 7+ years of experience in a senior generalist compliance role.
• Solid background in financial services and knowledge of leveraged trading.
• Familiarity with FCA regulations, particularly the Consumer Duty.

Responsibilities

• Provide advice on new product introductions and existing product adaptations.
• Deliver ongoing training to stakeholders as required.
• Assist in monitoring compliance activities and managing complex complaints.

Skills

CFDS and Spreadbetting knowledge

Stakeholder management

Regulatory compliance understanding

Strategic thinking

Communication skills

Job description

THE COMPANY:

Our client is a well-known Broker based in the heart of the City, with exciting growth plans.

THE RESPONSIBILITIES:

• 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.
• Advising the marketing function on regulatory requirements including in respect of approach to specific campaigns.
• 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.

EXPERIENCE REQUIRED:

• CFDS, Spreadbetting Retail Investor products/background required
• 7+ years of experience in a senior generalist compliance role (Retail investments/brokage background required )
• Solid background in financial services with good working knowledge of leveraged and non-leveraged trading of financial instruments and other popular investments. (CFDS, Spreadbetting, Crypto)
• 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

For further information please contact Hannah Tabatabai