Senior Compliance Manager - Retail Investments - GBP85k - City

JFJ Associates Limited
85000.00 GBP Annual + + 30% bonus
08 Aug 2017
16 Aug 2017
Contract Type
This highly successful, well established and rapidly expanding Financial Services firm are seeking an experienced Compliance Manager to provide high quality regulatory advice to the business and Group as a whole.

The role will involve providing oversight and direction to team members, supporting the delivery of compliance initiatives, leading and delivering regulatory projects and engaging with stakeholders.

Duties will include:

- Deputising for the Head of Department
- Leading and delivering Regulatory Change Projects and Compliance Initiatives.
- Supporting Regulatory Reporting and FCA / PRA Regulator visits as required.
- Advising on applicable rules and regulations and providing help and guidance to other Compliance team members
- Assisting the Head of Department to maintain sound and robust arrangements for providing advice to the Group on applicable FCA, PRA and Isle of Man FSA regulation.
- Contributing to the delivery of timely reporting to the Boards, Committees and Forums,
- Keep the business informed on regulatory developments affecting the Group and assess the impact to the business
- Design and implement changes to policies, procedures, processes and systems.

The ideal candidate will have a minimum of 8 years Compliance experience in Investment Firms, Regulatory Bodies or Consulting, or the Insurance sectors.

Practical knowledge of the FCA and PRA rules particularly relating to COBS, SYSC, CASS, TCF and Conduct Risk. Knowledge of Investment funds, platforms, UK investment distribution and Isle of Man regulation, would be particularly advantageous. .