Compliance Manager — Investment Compliance — Top tier Bank | Offie in the UK recruitment
My client is a leading global financial services company with business in over 100 countries currently seeking a Compliance Manager to join their Investment Sales Quality team. For a growing business the Investment Sales Quality Manager will be performing a quality control and training function to ensure IPB Sales meet the standards stated in the Sales Process and T C Scheme.
The main responsibilities include:
• Supporting Investment Sales Quality Head in all kind of investment sales and control related matters as well as leveraging administrative functions related to investment sales and control activities
• Monitoring sales performance with regards to investment compliance
• Reviewing and analysing monthly sales data, ensuring in line with the internal policies, standards (Retail Distribution of Investment Products and Services Policy, Offshore Wealth Services Policy), regulatory requirements and IPB Suitability Guidelines, providing monthly feedback on results to Leadership Team
• Developing and improving training, including on-boarding for new starters and training experience, for all members of the sales teams
In a very internationally diverse sales team, this person will have exposure to international markets and have experience in managing requirements from both sales and compliance and act as an interface between the two functions.
Requirements:
• Knowledge of the UK regulations in the investment compliance
• Good understanding of investment sales in a regulated market
• Familiarity with investment products and relevant applications (Bloomberg)
• Previous experience in or working with Compliance/Audit function preferred
To apply please send your CV to compliance@carltonseniorappointments.com or call +4420707 80559 for a confidential discussion.