Senior Manager, Business Compliance
My client is a worldwide investment firm who are looking for a compliance manager to join their team working out of their Surrey offices. Over the last 40 years my client has enjoyed great success, offering investment services and solutions that are in the best interest of their diverse global client base. By sharing their expertise, market-leading insights and entrepreneurial thinking, they have enabled their customers to make more informed choices along the path towards achieving their financial goals. They have a reputation as one of the world’s most successful investment solution providers and, looking ahead, believe their best is yet to come.
Purpose of the role
· To contribute to the development of my clients businesses and the protection of its shareholders, investors and its reputation through the direct management of the local compliance team and through internal consultancy and advisory services to specific business units.
· To focus predominantly on supporting the developments of Retail Customer Operations.
Desirable Experience
· A proven track record and detailed knowledge of the provision of compliance services within the retail financial services sector with a strong focus on retail fund management operations including client money
· Proven influencing and negotiating skills.
· Outwardly confident and trustworthy
· Strong customer service ethos
· Good planning, analysis organisation and judgement skills are essential
· Excellent communications and people skills and the ability to demonstrate flexibility to work in a fast-paced environment
Desirable Qualifications
· Industry professional qualification desirable
· Strong retail operations focus with detailed COBS/CASS/COLL rule knowledge and experience around client money and assets, dealing, best execution and post sale customer docs with good investment product knowledge including mutual funds and possibly life and pensions
If you think that you are the right fit for this role please send your CV to Adam Jones using the details provided.
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