Compliance Manager

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2019-09-18 14:29:101970-01-01 Coast Specialist Recruitment
Job Type Permanent full-time
Area West Sussex, UK
Sector FINANCIAL SERVICES - Compliance/T&C
Start Date
Advertiser Karen Halliday
Job Ref 13250
Job Views 175

A successful financial services firm have a vacancy for a positive and motivated individual in a Compliance Manager role.

Skills and Knowledge

  • Detailed knowledge of FCA rules and their interpretation/application
  • Understanding of contracts and relevant documentation
  • Ability to train and motivate others whilst remaining flexible/adaptable
  • Ability to manage and co-ordinate a team
  • Highly developed analytical, observational and communication skills
  • Platform experience is highly desirable

Qualifications requirements

  • Minimum of level 4 Diploma in regulated financial planning (or equivalent) and / or notable & credible investment qualifications covering management, discretion & platforms

General Responsibilities

  • Acting CF10 with oversight of the Compliance Function, and deputising for the Money Laundering Reporting Officer
  • Assist the line manager / Compliance Director in administering an effective scheme of control & monitoring across the business
  • Design and implement business processes
  • Manage risk within the business through identification and establishment of new controls
  • Keep up-to-date with regulatory and industry developments
  • Provide cover and support for the line manager / Compliance Director as appropriate
  • Liaise with key stakeholders, senior managers and board members in respect of regulatory and business issues
  • Communicate and escalate issues or matters which could not be resolved at Manager level
  • Assist in making all appropriate notifications to the FCA
  • Manage resource within the function and monitor team outputs
  • Contribute to the department and company objectives
  • Produce detailed and appropriate MI to the line manager / Compliance Director
  • Liaise with key stakeholders to implement system enhancements to improve systems and controls
  • Conduct system usage checks
  • Ensure team knowledge and competence is sufficient, providing support and training to Operational managers and team members
  • Take lead role on relevant business committees
  • Actively support or deputise for business risk manager
  • Take ownership and lead role with allocated Group policies

Compliance Monitoring Responsibilities

  • Apply a risk-based and common-sense approach to the compliance monitoring process
  • Apply a risk mitigating structure of compliance and business controls
  • Undertake regular reviews of business statistics, ensuring that data and management information in respect of platform use is accurately recorded whilst identifying adverse trends/risks and reporting or handling them accordingly
  • Consider and develop the internal monitoring structure and effectiveness of controls

Ad-hoc Responsibilities

  • Take on tasks and projects as delegated by the line manager / Compliance Director, or develop tasks which are deemed necessary due to other influences or circumstances beyond Compliance or Operational team remit, applying an authoritative, can-do attitude and a timely approach
  • Update manuals, procedures and company documentation as required
  • Attend events, seminars, training, regulatory workshops, etc. as deemed necessary
  • Complete tasks to a high standard, and apply initiative to accommodate for wider issues
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Contact Coast Specialist Recruitment

Essex Branch:
Coast House
387 London Road
Hadleigh, Essex

Telephone: 01702 713739 |

Surrey Branch:
Aqua House
30 – 32 High Street
KT19 8AH

Telephone: 01372 738020 |

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