Compliance Manager
1 month ago
Thistle Group is a multi-award-winning organisation which offers a range of services and products to financial services firms, helping our clients through the twists and turns of the ever-changing regulatory landscape.
Thistle Initiatives, our regulatory consultancy, provides expert compliance advice and support right across the financial services sector. Our clients range from niche start-ups to long-established market leaders covering the following verticals: Investments, Payment Services, Financial Crime, Credit, Mortgages, Insurance and Digital Assets.
We have a fantastic opportunity for the right individual to take advantage of developing a unique career with Thistle Initiatives. Currently experiencing rapid growth, Thistle are looking for an experienced individual to join the Investments Wholesale Team, to be responsible for delivering a range of financial services solutions to its clients. The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within the Investments team, be pro-active and establish effective client relationships.
The individual will also need to be able to promote and sell the services of Thistle Initiatives to both new and existing clients, as well as attend and participate at conferences, webinars and other marketing functions.
Key responsibilities
Responsibilities are wide-ranging and varied, given the exciting projects we work on. We are keen to speak to people with a passion for problem solving, building products, mentoring and growing success teams, and delivering high quality outputs.
- Keeping up to date with regulatory requirements applicable to the Thistle Initiatives client base and ensure timely implementation of changes including updates to policies and procedures
- Maintaining an up-to-date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and the other areas applicable to AIFMD and MiFID firms
- Self-starter attitude to completing client work and delivering high-quality client service levels, as well as mentoring junior team members to do the same.
- Supporting the Partner in the delivery of client projects, including oversight, task delegation and quality assurance.
- Responsible for the oversight of the team and for the smooth running of client projects in the absence of the Partner.
- Undertaking client audits, including reporting and making recommendations relating to address any areas of concern.
- Support the Partner to build, manage and motivate a team of highly skilled compliance professionals to ensure delivery of compliance solutions to the Group’s clients
- Multitasking and managing multiple client projects at any given time.
- Ability to work under pressure, with tight turn arounds and with consideration for regulatory or client deadlines.
- Understanding the principles of utilisation, working on client projects as efficiently as possible within the scope provided. Being accountable for own time management and that of the junior staff on a project.
- Strong client relationship and key account management, becoming their trusted advisor.
Behavioural Competencies
- Excellent communication skills to communicate openly and effectively, both internally and externally, to deliver the requirements of our client firms, with the ability to adapt to different audiences.
- Exceptional attention to detail
- Commercial awareness to be mindful of the commercial objectives of the firm when delivering compliance assistance.
- Commitment and enthusiasm with the desire to see the firm succeed.
- Ability to embrace change and be adaptable to the changing requirements of the regulations and be keen to develop new skills accordingly.
- Personal credibility with ability to establish and maintain trusting relationships with others.
- Team working skills that foster effective and productive working relationships to be considerate to the needs and opinions of others.
- Proactive attitude to actively seek new tasks and have a growth mindset.
- Self-driven with the ability to act as a team player.
- Determined attitude with the resilience and tenacity to manage projects from start to finish.
- Must be able to work autonomously and take initiative, identifying when referral needs to be made.
- Excellent written communication skills with the ability to draft written communications and documentation in an articulate way and to a high standard.
Technical Competencies
- Must have a detailed understanding of the financial services wholesale sector, ideally including but not limited to the Hedge Fund and Private Equity sector and be able to apply knowledge of applicable regulation to the business requirements of our clients.
- A working knowledge of; MiFID II, AIFMD, fund administration, short selling, SM&CR, Market Abuse, MLR’s, SFTR, EMIR, and on/off shore fund establishment.
Experience/Qualifications
- Relevant Financial services background and experience essential
- Certificate/s in financial investments such as the CISI IOC or equivalent qualification beneficial
- Diploma/s in financial investments such as the CISI IAD, PCIAM or equivalent or working towards qualification beneficial
- Diploma in Investment Compliance, equivalent or working towards qualification
- Educational attainment at degree level useful but not essential
We offer
- Competitive salary and the ability to grow your career within the Thistle Initiatives Group
- 25 - 30 days holiday entitlement depending on length of service
- Company pension scheme
- Private Medical Insurance
- Gym membership contribution
- Fantastic City of London location and working environment
- Working with dynamic teams with regular social events
If you are looking to springboard your career to the next level and would like to be part of a supportive and dynamic culture, then please apply.
-
Compliance Manager
2 months ago
UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeOur client, a full-service law firm, is looking for a Compliance Manager to join their team in Birmingham. The main purpose of this role is to ensure that all risk management and compliance policies, controls and procedures within the firm meet regulatory standards and regulations.The ideal candidate will have experience in a risk and compliance role at a...
-
Compliance Manager
2 months ago
UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeOur client, a well-respected national law firm, is looking for a Compliance Manager to join their team in Buckinghamshire. The ideal candidate must have strong knowledge of relevant regulations and legislation including, Money Laundering Regulations 2017, SRA Standards and Regulations, Legal Ombudsman Scheme Rules, legal aid, Data Protection Act 2018,...
-
Compliance Analyst
1 month ago
UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeOur client is an international law firm seeking a Compliance Analyst to join their busy legal team in their London office. In this role, you will support the Compliance team in all their legal and regulatory duties.Key responsibilities include but are not limited to:Conduct CDD for a wide range of clients, including individuals, companies, and trusts;...
-
Compliance Manager
1 month ago
UK, UK, United Kingdom Camino Partners Ltd Full timeCompliance ManagerCentral LondonHybrid£35k-£40kWith over 10 years experience within the healthcare recruitment industry, my client are looking for a brilliant Compliance Manager to join their team to run and manage a top class compliance function! This role is crucial to ensure compliance is adhered to throughout the entire business, supporting the smooth...
-
Compliance Manager
3 weeks ago
UK, UK, United Kingdom MERJE Full timeLocation: Merseyside (Hybrid)MERJE is delighted to offer a remarkable opportunity for a Group Compliance Manager to join our client, a market leader in their field of specialism.In this role, the Group Compliance Manager will shape and drive the company’s compliance strategy across its global footprint. Combining strategic oversight with hands-on...
-
Compliance Manager
1 month ago
UK, UK, United Kingdom MERJE Full timeOur client, an award winning independent financial advice firm are looking for a Compliance Manager to join the team on a permanent basis.As Compliance Manager you will need to ensure the business meets all regulatory obligations and to support the Director in their fulfilment of SMF16/17 responsibilities and wider compliance duties. Build a positive ethical...
-
Compliance Manager
3 weeks ago
UK, UK, United Kingdom Career Moves Group I B Corp™ Full timeThis client is a top 5 tech giant and owner of some of the world's most popular social media platforms and instant messaging apps, connecting billions of people across the globe. Location – UK RemoteStart date – January 2025Duration – 6 monthsRate: From £365/day + (Inside IR35 - PAYE) (approx 95K per annum equivalent)The Compliance Manager will be...
-
Compliance Manager
2 months ago
UK, UK, United Kingdom Broadgate Full timeHead of Compliance HelpdeskLeeds/West YorksSalary £50kThis role presents an opportunity for someone to take ownership of a Compliance function, within one of the UK market leaders in providing entrepreneurial and technical support to the financial services sector.Primarily, the responsibility would be to oversee the internal Compliance helpdesk:Manage the...
-
Compliance Manager
3 weeks ago
UK, UK, United Kingdom IDEX Consulting Ltd Full timeIDEX have been retained by a Life and Health provider in the North West of England who are looking to add a Manager to the Compliance function.This role will report directly into an Executive Head but also had regular interactions and business partnering with the CEO. The client are a multi discipline insurance provider with a strong foothold in the PMI and...
-
Compliance Manager
3 months ago
UK, UK, United Kingdom SilverRock Bank Full timeAt SilverRock, we are building a new bank. Our vision is to “Pioneer fairer financial outcomes by empowering lenders to deliver and enabling savers to prosper.” We are doing this by building a unique and highly scalable data driven multi-asset bank through a partnership of ecosystems, specialising in the delivery of forward flow partnerships and...
-
Data Protection Lawyer
2 months ago
UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeWe are working with a fantastic boutique city law firm assisting them to hire a Data Protection Lawyer. This role is a fantastic opportunity for somebody who has experience in data protection, risk and compliance and who would like to broaden their skill set.In this role you will work alongside a small team consisting of a compliance assistant, senior...
-
Group Compliance Manager
1 month ago
UK, UK, United Kingdom MERJE Full timeLocation: Cheshire West (Hybrid 4 days office / 1 home)MERJE is delighted to offer a remarkable opportunity for a Group Compliance Manager to join our client, a technical consultancy that operates across various industries such as agricultural, metals and minerals operating in Europe, the Americas, Asia, Africa, and Australia. In this role, the Group...
-
Trade Compliance Manager
3 weeks ago
UK, UK, United Kingdom Alchemy Global Talent Solutions Full timeWe are partnering with a leading aerospace manufacturer who are seeking a Trade Compliance Manager to join their team in the UK.Reporting into the Head of Trade Compliance, this role will provide support, including advice and guidance, on International Trade Compliance matters in order to ensure compliance with UK, EU, US and other Export Control laws and...
-
Compliance Manager
1 month ago
UK, UK, United Kingdom Danos Group Full timeCurrently recruiting for a Global Asset Management firm, who are looking for a compliance professional to join their team on an initial 12 month basis. You should have previous experience or working within regulatory compliance at an asset or investment management firm, and will act in a generalist role, with focus on framework development and maintenance,...
-
Trade Compliance Manager
2 months ago
UK, UK, United Kingdom Alchemy Global Talent Solutions Full timeWe are partnering with a leading manufacturer who are seeking a Trade Compliance Manager to join their team in London.This role will be responsible for shaping strategy, policies and procedures to ensure group-wide compliance with international trade compliance laws and regulations, including UK, EU, US (EAR and ITAR) and customs...
-
Assistant Manager Compliance
2 months ago
UK, UK, United Kingdom Mitsubishi Electric Full timeAssistant Compliance Manager:Are you looking to build a career within a Global Company withopportunities for growth and development? Do you want to join a company that that is making a difference?Office Location: Travellers Lane, Hatfield, AL10 8XBHours of work: Monday - Friday, 9:00 - 17:00About Us:We, the Mitsubishi Electric Group, will contribute to the...
-
ESG Compliance Manager
3 weeks ago
UK, UK, United Kingdom D R Newitt Recruitment Full timeAre you an ESG Manager who has the drive, commitment and ability to make impose business wide standards and strategy?This B-Corp is completely devoted and focused on aligning business practices with sustainable principles; and have created this new role to meet regulations, compliance, and provide positive social impact.This ESG Manager is a strategic role...
-
Compliance Manager
3 months ago
UK, UK, United Kingdom Atlas Professionals Full timeAtlas Professionals are recruiting for a Compliance Manager based in Newcastle. This will be a full time role working Monday to Friday. Ideally the successful candidate will have the majority of the below:• Lead Auditor Qualifications• NEBOSH Certificate / Diploma• IEMA Environmental Qualification or equivalent• Extensive experience with multi-site /...
-
Compliance Manager
4 days ago
London, UK, UK, United Kingdom Broadgate Full timeRegulatory Advisory (Compliance) ManagerSalary £75kThis position is with a renowned, market-leading provider of tech services that specialise in the wealth management and platform sectors globally.The role is part of the 2nd Line Compliance function, but as well as providing guidance and compliance advice to the business, you would have responsibility for...
-
Conflicts Analyst
2 months ago
UK, UK, United Kingdom AJ FOX COMPLIANCE Full timeWe have an exciting opportunity to join a Global Law Firm on a remote working basis. The function of this role is to support the Conflicts Manager to ensure all policies and procedures are in place to avoid conflicts of interest, protect confidential information, and comply with legislative and regulatory requirements.In order to apply for this role, you...