puestos de Compliance Manager en United States

Perspective Financial Group Ltd / Group Regulatory & Compliance – Senior Acquisitions Compliance Manager. Reporting directly to the Head of Acquisitions Compliance, the role supports the delivery of actions within the Compliance team for Regulatory Due Diligence and the onboarding of new acquisitions.

Office: Perspective Financial Group Ltd

Location: Home Based

Hours: Monday - Friday 9am to 5pm with a one-hour break (35 hours)

Salary: Competitive, dependant on experience and qualifications (available upon request)

Please note: any offer of employment is subject to satisfactory criminal record background checks.

• Qualified to QCF level 4 or above.
• Have experience working within a big-4 type consultancy environment undertaking regulatory due diligence, thematic review exercises & / or operational management.
• Must have a high level of attention to detail and have an analytical and inquisitive mind.
• Have a thorough understanding of FCA rules and regulation, particularly Consumer Duty, MiFID II, IPRU, COBS, SYSC, TC & FIT.
• Strong organisational, analytical skills and the ability to meet deadlines.
• Proven experience in leading teams within financial services and a passion for team development.
• Excellent interpersonal and communication skills, able to communicate effectively with a wide range of stakeholders and skilled at managing expectations to various levels of the business.
• Skilled in prioritising and allocating resources effectively in a fast-paced environment.
• Competent user of Microsoft Excel, able to perform data analysis and produce MI to inform decision making.
• A strong understanding of the wealth management and financial advice industry including relevant products & services.
• Experience dealing with sensitive client/vendor relationships.

• Educated to degree level, ideally in Finance, Accounting, Business, Management, or a related discipline.
• Previous experience in completing FCA RegData returns, Professional Indemnity Insurance renewals.
• Customer remediation experience including customer contact, redress, capital adequacy and liaising with insurers.
• Proven experience in workflow management, operational oversight, automation or business process improvement - able to design processes to aid efficiencies.
• Project management qualifications such as PMP (Project Management Professional), PRINCE2, CAPM (Certified Associate in Project Management), and Agile certifications.

• Manage the due diligence team, distributing the workload, setting clear goals & objectives and overseeing the production of due diligence reports in line with project timelines.
• Working alongside the quality lead to foster personal development within the team.
• Ensuring that reports are comprehensive, accurate, and delivered to stakeholders within agreed timelines.
• Completion of Quality Assurance for Due Diligence reports.
• Escalate risks and red flags, offering recommendations and mitigation strategies, where appropriate.
• Assist with overseeing the end-to-end regulatory due diligence and onboarding process for new acquisitions by monitoring the completion of action plans and providing progress updates to the central project management team.
• Collaborating with other compliance workstreams and cross-functional teams (Finance, Legal, Operational) to ensure that diligence findings are understood and teams are aligned.
• Build and maintain effective relationships with external stakeholders to support the timely completion of Due Diligence and Onboarding of new acquisitions.
• Drive continuous operational improvement, efficiencies and help develop the use of AI and new technologies within the team.

25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme and Birthday leave. E-Discounts, Electric Car Scheme, Life Assurance, Pension and Corporate Eyecare.

Birthday Day Off

Electric Car Scheme

Perspective Financial Group Ltd does not provide financial advice itself. All advice is provided through Group offices which are all authorised and regulated by the Financial Conduct Authority.

Registered in England and Wales. Company No.

Perspective Financial Group Ltd
Lancaster House
Ackhurst Business Park
Foxhole Road
Chorley Lancashire
PR7 1NY