GetRecruited UK Ltd

Regulatory Compliance Manager




My client are a market leading Compliance Consultancy who support their clients across the financial services sector.

They work with some fantastic clients ranging from SMEs and start ups to large corporates! Due to continued success and expansion, they are now looking for an experienced Regulatory Compliance Manager to join their Investments team.

As the Regulatory Compliance Manager you will be delivering compliance solutions to a range of Appointed Representative firms through its regulated principal firm.

This is a fantastic opportunity for an individual from a Senior Compliance Associate / Compliance Consultant / Compliance Manager / Investment Compliance Manager role within Regulatory Compliance who is looking to join a growing, forward-thinking business who offer excellent career progression!

Key Responsibilities:

  • Advising and consulting senior stakeholders on the firms regulatory obligations and how they should be met

  • Drafting policies, procedures and reports as required

  • Producing reports for internal and external use on FCA policy

  • Plan, schedule and execute supervisory visits of appointed representative firms

  • Providing detailed audit reports

  • Ensuring required audit actions are tracked through to completion

  • Implementing any requirements of FCA rules and regulations relating to appointed representative firms

  • Documenting and implementing changes to the governance plan/activity in line with FCA rules and regulations

  • Providing technical support and guidance to clients and the wider team

  • Maintaining up to date knowledge of FCA regulatory rules including Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and other areas applicable to AIFMD and MiFID

Key Skills & Experience:

  • Ideally from a Senior Compliance Associate / Compliance Consultant / Compliance Manager / Investment Compliance Manager role within Regulatory Compliance

  • Advanced understanding of FCA Handbook including SYSC, COBS, CONC, SUP and DISP

  • QCF Level 4

  • Experience or background in audit, monitoring or supervision of regulated investment firms

  • Excellent communication and time management skills at all levels

  • Excellent administration and telephone skills

  • An organised individual who can work under pressure and produce work to the standard required

  • Computer literate and aptitude in Microsoft Office

APPLY NOW: Interviews for this position are available immediately, so please apply ASAP to avoid disappointment.

Get Recruited is acting as an Employment Agency in relation to this vacancy.

  • Start: ASAP
  • Duration: Perm
  • Rate: £50000.00 - £60000.00 per annum + Hybrid + Benefits + Progression
  • Location: London, England
  • Type: Permanent
  • Industry: Finance
  • Recruiter: GetRecruited UK Ltd
  • Contact: Chloe Marsh
  • Tel: 0845 121 0741 / 0161 850 1091
  • Email: to view click here
  • Posted: 2022-04-22 16:29:14 -

  • View all Jobs from GetRecruited UK Ltd

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