Senior Manager
A market leading investment management company based in the South are looking to hire a senior manager to their business compliance team as a result of an internal move. The team provides consultancy and advisory services to the UK businesses and partners with other relevant teams including AML, Risk and Legal.
The team is responsible for personal investing, client services and customer relations teams as well as the pensions advisory business. It provides advise and consultancy services to these business lines and colleagues. You will lead engagement with the business lines as well as acting as the compliance representative for projects. This role works closely with the Compliance Director.
Key responsibilities for this role include:
Managing Compliance support to client services and customer relations team. Dealing with enquiries and providing advice in respect of regulatory requirements.
Advising and consulting the customer relations team regarding complex, escalated and FOS complaints.
Managing and supporting FCA data requests and visits.
Preparing and submitting FCA returns as required.
Reviewing and approving financial promotions.
Reviewing and reporting regulatory developments.
Liaising with, and supporting, other business areas to ensure compliance and manage risk.
You will be a team player with relevant experience and outstanding academics. You will also have demonstrated your commitment to development by completing further training and qualifications.
This is a fantastic opportunity to join a well established compliance team within a successful business.
If this role is of interest to you, or to discuss your recruitment needs in a confidential manner, please contact Jamie Boyd on 020 3465 0110
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