Compliance Manager
This is a stand alone role reporting to the Head of Legal. The role holder will be solely responsible for all regulatory issues, application and interpretation of the FCA rules, implementation of the compliance monitoring programme and advise across a range of markets and products.
The role holder will identify any regulatory changes affecting the UK entities and ensure the necessary processes and controls are in place. The Compliance Manager will maintain standards of regulatory risk management and assist staff with interpretations of rules and the development of a positive compliance culture.
The candidate must be able to demonstrate a credible career in Compliance as a generalist able to deal with regulatory policy interpretation, implementation and advice as well as the basics of monitoring, complaint handling and AML.
The Compliance Manager will hold the CF10 CF11 and ideally will have held this in a previous role. The candidate will demonstrate real breadth of experience as summarised above with either Private Banking or Asset Management experience. As a stand alone role the candidate will be required to deal with senior stakeholders and FCA but will also need to be hands on and happy to carry out the more administrative compliance tasks.
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