Compliance Manager

1 month ago


London Area, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment💡 Full time

JCR Talent is delighted to be partnering with an award-winning Retail Investments firm as they seek a Regulatory Compliance Manager.

This is a generalist compliance role, with Financial Crime sitting within another team.

Key Responsibilities:

  • Advising the business to develop investing products that meet customer needs and achieve their life goals.
  • Monitoring investment products and services, and providing feedback on how they can be enhanced.
  • Providing compliance oversight of investing products and processes through regular monitoring and reviews to ensure they work as planned and deliver good customer outcomes.
  • Preparing and maintaining policies and procedures.

Desired Experience:

  • Experience overseeing investment products.
  • Detailed knowledge of UK regulatory requirements for investment products (particularly funds) and a good understanding of MiFID and CASS rules.

Apply or Contact James Carter for more information or to arrange a confidential discussion.



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