Compliance Manager - Financial Regulation

Addleshaw Goddard
South East England
14 Sep 2017
12 Oct 2017
Contract Type
The Team Addleshaw Goddard's Financial Regulation practice is ranked in both Chambers and Partners and Legal 500. The team works for a diverse range of clients including all the major banks, private banks and wealth managers, investment firms and intermediaries. The team also have a market leading reputation in retail financial services covering mortgages, secured and subprime loans, current accounts, pre-paid accounts, credit cards and payment services. The team is sits in the Corporate Division and assists on corporate and commercial transactions. The compliance practice group is a new and exciting part of that team providing complimentary regulatory advice to the established client base. What we are looking for We are looking for a graduate with 3-4 years experience to work in our Financial Regulation team and supporting the compliance directors in delivering interesting and complex regulatory advice to the retail consumer market sector comprising banks, asset finance houses, card issuers and insurers. The work involves advising on the requirements of the FSMA and FCA Handbook (and replacement legislation and rules), and other regulatory developments. You will work closely with the compliance directors and partners to enhance and grow our reputation with existing clients and new ones. Responsibilities will include: Providing technical compliance advice on regulatory issues and industry change Drafting and helping the client to implement policies and procedures to ensure their compliance with requirements Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter Supporting client programmes across the breadth of FCA requirements from authorisation, marketing and distribution requirements, general handbook advisory and assurance through to remediation Our successful applicant will need the following skills: 3-4 years experience in a similar role Regulatory experience at the FSA/FCA, medium-large financial services organisation, regulatory consultancy or similar consultancy firm Hands on experience of the design and delivery of policies and internal control frameworks A sound knowledge of FSMA, the FSA Handbook, relevant industry codes and developments relevant to the client base Familiarity with the financial services industry and experience in dealing with in-house compliance and legal teams Strong academic background and ability to produce complete and accurate work with limited supervision Flexibility - can work on client site when necessary and able to commit effort to deliver within challenging client timescales Commitment to team-building and promoting the group's best interests across the breadth of compliance and legal activity.