Compliance Manager

Job Description
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. 

Role Overview: 

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. 

Responsibilities: 

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; 

d) Support in the delivery of a compliant SMCR framework, including: 

i. ensuring all staff performing senior manager or certification functions are duly  identified and promptly registered with, or notified to, the FCA;  

ii. maintenance and where required, updating, of SMF statements of responsibilities; 

iii. timely issuance of annual re-certifications for all certification staff; and 

iv. 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; 

g) Completing due diligence assessments on prospective customers prior to on-boarding; 

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; 

l) Providing second line oversight of the transaction reporting process; and 

m) Assisting in the execution of the Firm's Compliance Monitoring Programme if required. 

Required Experience and Attributes: 

i. 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;  

ii. 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; 

iii. Knowledge and/or experience in any of the following areas would be advantageous; CRS and  FATCA, Data Protection & Privacy, Market Abuse and Transaction Reporting; 

iv. Ability to communicate clearly both verbally and in writing; 

v. Ability to manage and prioritise own workload and meet deadlines; and 

vi. Proactively look for ways to enhance current Compliance documentation and practices. 

A little about us
We are the Nucleus Group Services Limited and we help make retirement more rewarding. Here at Nucleus, people come first - whether it's our colleagues, or the advisers and customers we support, we know that working in partnership and collaboration leads to the best outcomes. Together, we've shaped the platform to how it is today. We work hard, and we celebrate hard too.

Our ambition is to create a platform with a difference, putting the customer centre stage meant tearing up the rule book and starting from scratch. We've come a long way since then, but our mission remains just as focused. That's why our culture, values, and social responsibility are things we keep at the top of our agenda – because we know they matter and have a big impact.

Our culture is one of the many things that sets us apart from the pack. We want to have an environment where our people feel that they can make a real difference, know they'll be rewarded for their efforts and more importantly, enjoy themselves at work.

Are we a perfect match? Check out this video and find out

Inclusion and diversity at Nucleus
As with most things in life, who cares, wins. We really care about inclusion.

For us it's not a tick box exercise; inclusion and diversity are embedded in our culture and everything we do. It's a commercial imperative. It isn't about being PC. It's about being future-relevant and durable. 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. And it means being more representative of customer groups, which supports areas such as product development.

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.

If you'd like to find out more about us or the role, please get in touch with our recruitment team.