Compliance Manager

4 days ago

City Of London UK, Central London, United Kingdom Sarafin Partners Full time

A prestigious and established investment firm in the heart of the City of London is seeking a talented Compliance Manager – Consumer Duty to join their team in this newly created role. This dynamic and multifaceted position offers an exceptional opportunity for an experienced professional to work across the business, driving excellence and ensuring compliance with Consumer Duty regulations. You will play a pivotal role in analyzing and enhancing service processes, managing key projects, and providing expert advice on process improvements that align with regulatory expectations and business goals.

If you’re a proactive and strategic thinker looking to make a meaningful impact within a reputable organization, we’d love to hear from you.


The main focus of the role will include:

  • Working with the Consumer Duty Champions of the firm and keeping them updated.
  • Tracking and implementing key actions or projects relating to Consumer Duty
  • Collating and analysing MI data against Consumer Duty outcomes, identifying, summarising, and escalating customer risks and issues that may impact on future product / communication developments
  • Consumer Duty report preparation
  • Production and presentation of the Consumer Duty MI pack
  • Provision of Consumer Duty training to the organisation
  • Reviewing and developing customer communications and customer literature.
  • Maintainence and development of the product and service process to ensure products/services are launched, governed, and closed in accordance with the Customer Duty requirements.


In order to be considered for this position, suitable applicants MUST:

  • Possess a minimum of 3 years experience of working in a compliance related capacity within the investment sector.
  • Have a solid understanding of the Consumer Duty Regulations.
  • Possess Strong analytical and problem-solving skills
  • Be proficient in MS Excel
  • Be Attentive to detail and accuracy
  • Have the ability to work independently and collaboratively
  • Good stakeholder management skills
  • Proactive / self-starter and highly motivated
  • Strong communication and report writing skills
  • Ability to interpret complex problems and relay them practically to the business


This is a fantastic opportunity for an individual to leverage their expertise in a high-visibility, highly varied role and make a meaningful impact. This role is ideal for a proactive professional eager to shape the firm’s approach to Consumer Duty, ensuring products and services consistently meet customer needs and regulatory standards.


APPLY TODAY FOR FURTHER INFORMATION

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