Compliance Manager
3 days ago
**My client is searching for an experienced Compliance Manager to join their Manchester, Greater Manchester offices.**
**Job Context**:
The role sits in the Legal and Regulatory function providing a central service the business and the job holder reports to the Head of Risk and Compliance. They will be responsible for the management of the Regulatory Policy team working with the businessto define compliance and risk management policies and procedures to ensure the business operate within a compliance environment and appropriate risk management systems and controls.
**Key Dimensions**:
- The role has full responsibility for the Compliance Monitoring and Regulatory Policy teams at the firm.
- Responsible for 5 FTE, the role holder will ensure that the teams provide and accurately utilise a regulatory management framework for c.200 financial advisers to deliver compliant financial planning and advice service to private retail clients, with embeddedsystems and controls.
**Key Accountabilities**:
- Regulatory Development
- Anti-money Laundering / Financial Crime
- Compliance Monitoring
- Team Management
**Knowledge**
- Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry
- Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management
- A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business
- Ability to extract and identify issues of potential risk
**Experience**
- A minimum of 5 years’ experience in a compliance role with a first class knowledge of monitoring, risk management and current regulatory issues as they impact on an FCA authorised firm.
- Experience of risk based monitoring systems and audit procedures
- Experience of delivering operational change and improving regulatory and business standards
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