Director, Regulatory

Third Platform Services Limited (“TPS” or the “Firm”) provides a Model B Clearing service to financial intermediaries which entails trade execution, settlement and safe custody. The Firm’s customers are all FCA regulated firms that typically provide wealth management and advisory services to underlying retail clients. 
Reporting to the Head of Compliance, the role of the Compliance Manager will be to manage the various responsibilities detailed below, provide day-to-day support to the Head of Compliance and to deputise for them, as requested, in their absence. 
a) Deputising for the Compliance Officer in their absence including attendance of internal committee and management meetings and supervision of junior members of the Compliance team; 
b) Support the firm delivery its strategic aims and objectives in a compliant manner, including providing compliance support to in-flight change projects; 
c) Dealing with ad-hoc issues delegated by the Head of Compliance; 
maintenance and updating of the Firm’s SMCR policy and procedures. 
e) Responding to day-to-day compliance queries from the business and the Firm’s customers;
f) Investigation of customer complaints and drafting of written responses thereto in compliance with regulatory complaints handling requirements; 
h) Assisting the Head of Compliance in the preparation of responses to information requests from the FCA and other regulatory bodies; 
i) Drafting and updating of the Firm’s Compliance policies and procedures; 
j) Assisting the Head of Compliance in the development and updating of the Firm’s Compliance Monitoring & Assurance Programme; 
k) Overseeing the submission of regulatory returns by the Firm; 
m) Assisting in the execution of the Firm’s Compliance Monitoring Programme if required. 
At least seven years generalist Compliance experience which ideally has included provision of business advisory support, monitoring and testing, drafting and updating of policies and procedures, representing Compliance in internal committees and working groups, customer complaints handling and general liaison with customers and external third parties;
Good understanding of current UK legal and regulatory requirements pertaining to Client Assets, Code of Conduct, Conduct of Business, Customer Complaints Handling, and the Senior Managers and Certification Regime; 
CRS and FATCA, Data Protection & Privacy, Market Abuse and Transaction Reporting; 
Ability to communicate clearly both verbally and in writing; 
Proactively look for ways to enhance current Compliance documentation and practices. 
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Inclusion and diversity at Nucleus
We really care about inclusion.
inclusion and diversity are embedded in our culture and everything we do. It’s a commercial imperative. We owe it to ourselves and the industry to ensure we are playing our part in creating a fair, balanced and transparent financial services sector.
More diversity means broader experience, a wider set of perspectives and a better collective ability to problem-solve. At Nucleus, we offer a generous blend of benefits for the things that really matter to our people, including a non-contributory pension, bonus, enhanced parental leave, paid time off for emergencies, health and wellbeing initiatives and flexible working options.