Compliance Manager (part-time)
The successful candidate will report into the Head of Compliance and assist them to ensure that the firm complies with relevant FCA and European regulatory requirements, as well as relevant group compliance policies and procedures.
Duties include (but are not limited to):
- Undertake more complex monitoring items in relation to the Compliance Monitoring Plan (Desk Reviews, adherence to FCA regulations and policies, Client Order Handling, Use of Dealing Commissions, etc)
- Prepare and issue reports of the testing and results and circulate and escalate as necessary
- Consider required revisions to the Monitoring Plan
- Oversee the completion of less complex monitoring items by the compliance assistant
- Ensure that monthly monitoring is consistently completed in a timely manner
- Develop and document policies and procedures, to ensure compliance with regulatory policies and procedures.
- Develop familiarity with firm and group policies, and with relevant FCA regulations; and provide advice to staff in relation to them as required
- Maintain the compliance manual and ensure that it is available to all staff via the office Intranet.
- Deputising for Head of Compliance / support the Head of Compliance in providing advice and support to the business
Candidate requirements
- Able to provide support to the Head of Compliance, taking on complex work from them and working with minimal supervision
- Supervise the Compliance Assistant in their completion of the less complex items on the Compliance Monitoring Plan
- Ensure that the items on the Monitoring Plan are completed in a timely manner
Key Skills and Experience
- Possess a proven track record in compliance (ideally 5 years’+), ideally gained at an asset / investment management firm
- Demonstrate a good understanding of the regulatory priorities in the industry, and the relevant regulations
- Demonstrate a keen interest in keeping abreast of regulatory developments
- Excellent organisational skills and the ability to work without close supervision
- Confident in dealing with staff of all levels, especially the ability to build relationships with senior management
- Excellent verbal and written communication skills are essential
- Ability to prioritise workloads and deliver within set deadlines
This role is part-time and it is envisaged that candidates will be able to commit to 2.5 or 3 days per week.
Please forward your details to giles.remmington@cordium.com or contact me on 0203 141 9635 for a confidential discussion
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