Compliance Manager

2 weeks ago

Leeds, Leeds, United Kingdom SJC Partners Full time £40,000 - £80,000 per year

This role has been created to support the head of compliance in ensuring the firm's activities meet and/or exceed regulatory requirements. Specific responsibilities include monitoring and assisting the business in the identification and resolution of issues efficiently and effectively, considering guidelines and requirements.

You will have around 6+ years' experience in a compliance role. Your main Responsibilities will include, but not be limited to.


• Undertaking compliance monitoring, following up on actions and ensuring associated documentation is accurate


• Leading or assisting IT initiatives, implementing regulatory changes and other ad hoc projects.


• Leading client onboarding


• Reviewing and assisting with approval of marketing materials, including s21 and s21 exempt financial promotions


• Report writing including ICARA, Consumer Duty, Board Reports and MI (collation, analysis and presentation)


• Maintain compliance and related operational registers: incidents, risks, conflicts, business interests, breaches, gifts, etc. Involves recording, reviewing, reporting and, where appropriate, approval and escalation


• Maintain and update compliance policies and procedures


• Oversight and relationship management for outsourced/external parties.


• Excellent understanding of FCA handbook, SMCR and MIFID II


• Strong understanding of Financial Markets, Investment Management and/or Private Equity


• Project management experience, including technology implementations, with knowledge of AIFMD regulations/reporting.

If you would like more information, please apply

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