Senior Compliance Manager

4 weeks ago

Aberdeen, United Kingdom Right People Recruitment Solutions Full time
Senior Compliance Manager Role

We are seeking a seasoned compliance professional to lead our firm's compliance efforts, ensuring adherence to regulatory frameworks and driving process improvements.

Key Responsibilities:
  • Compliance Leadership: Oversee the firm's compliance function, ensuring strict adherence to professional standards and legal regulations.
  • AML & MLCO: Act as the MLCO and oversee the firm's anti-money laundering policies, ensuring full compliance and effective AML reporting.
  • Audit Quality Management: Oversee the cold review process, ensure continuous improvement through root cause analysis, and take ownership of the firm's System of Quality Management (SOQM).
  • External Reviews & Relationships: Build and manage relationships with external reviewers and regulatory bodies, ensuring Practice Assurance and Audit Compliance reviews are carried out with a focus on process improvements.
  • GDPR & Data Protection: Oversee the firm's GDPR compliance in collaboration with the Data Protection Officer (DPO), ensuring data protection protocols are followed and coordinating GDPR audits, reporting, and staff training.
  • Client Monies & Investment Business: Oversee the management of client monies and ensure FCA compliance for investment business activities.
  • Ethics & Independence: Ensure the firm adheres to ethical guidelines, including regular independence assessments and compliance with ICAS's Code of Ethics.
  • Engagement Letters: Manage the preparation and compliance of engagement letters, ensuring they meet regulatory standards.
  • Annual Compliance & Certifications: Oversee annual compliance processes, including Fit and Proper certifications and independence declarations.
  • CPD Management: Coordinate and manage Continuing Professional Development (CPD) for all qualified staff and those in senior leadership positions, overseeing the annual CPD collation and review process to ensure compliance with ICAS standards.
  • Process Improvement: Lead ongoing process improvements in compliance areas, ensuring the firm remains aligned with evolving industry standards and regulatory requirements.
Qualifications and Experience:
  • Strong working knowledge of UK compliance regulations, including AML, GDPR, audit standards, and ethical requirements.
  • Professional qualification such as ACA/ACCA/CA or compliance-related certification (e.g., ICA, ICAEW, or similar).
  • Proven experience in managing compliance functions, overseeing audit quality, and handling relationships with external regulatory bodies.
  • Demonstrated leadership skills, with a track record of driving process improvements and managing teams.
  • Strong organisational and strategic skills, with experience in coordinating CPD and ensuring regulatory compliance.

This role offers a unique opportunity for an accomplished compliance professional to take on a leadership position, shaping the firm's compliance strategy, ensuring adherence to regulatory standards, and driving process improvements. If you are passionate about compliance, process excellence, and fostering a culture of integrity, we invite you to apply and join our dynamic team.

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