Compliance Manager
A specialist Wealth Manager is seeking a Compliance Manager to join their growing organisation. Subject to large growth in recent years, this is an opportunity to be part of an exciting period of the company’s history. As an integral member of the team, you will be in a position of real influence in the business, where you will have engagement with various senior stakeholders.
As Compliance Manager, your responsibilities will include:-
· Responsibility for the provision of advice, support, training and guidance on regulatory matters
· Formulating solutions for the business, which ensure regulatory compliance in a pragmatic, business-friendly manner
· assist in addressing actions arising from risk and monitoring action plans
· maintain a framework to ensure adequate identification, assessment, communication, control and monitoring of risks
· Review regulatory papers to determine their relevance and impact on the business and implement, or assist in and advise on the implementation of, any changes required
· Escalate any regulatory risks to the Head of Risk Compliance or others appropriately
· Record exceptions, breaches, near-misses and compliments and monitor and report on these
· Review and approve financial promotions in a timely manner
· Undertake regulatory due diligence on third parties, if required
· Make, assist with or supervise required reports to the regulator
· Deal with complaints
· Monitor and sign off all aspects of new client documentation
· Maintain up to date procedures in the Compliance Manual
Your experience shall include:-
· Excellent knowledge of regulatory process and requirements within the asset management sector, including the COLL Sourcebook and the structuring of collective investment schemes
· Thorough understanding of investment management principles and processes
· Proven experience within the asset management sector
· Ability to assess risk to the business and to escalate where required
· Confidence to liaise with staff and external parties, including the regulator, at all levels
· Extensive advisory compliance experience, with evidence of balancing regulatory requirements with commercial pressures
Please contact Liam Connolly on 020 3465 0110 to find out more information.
Leave a Reply
You must be logged in to post a comment.