Compliance Manager

The Role

The purpose of Compliance Manager is to support the Head of Compliance and MLRO in assisting in designing, implementing and reviewing policies, procedures, risk assessments and frameworks. Design, oversee and execute the compliance monitoring plan, as well as providing the firm with training, advice and guidance so that teams may meet regulatory requirements in the delivery of their activities.

Regulations

• To monitor, interpret, and share with teams and senior management new legislation or regulation and changes to existing legislation and regulation

• To provide regulatory advice to teams and senior management either on an ad-hoc basis or in respect of change programs

• Review applicable rules, guidance and other applicable documents, in order to produce policies, target operating models, operating statements or procedures etc relevant for the compliance department or firm as a whole based upon the products and services being offered from time-to-time.

Regulatory Liaison

• To collate any information required in respect of information requests

• To complete and submit any ad-hoc or periodic reports to the FCA or ICO as applicable

• To complete and submit any applications to FCA when required

Risk Assessments

• To conduct, review and update any risk related documents or frameworks including risk appetite statements, risk related policies or procedures

• To undertake in conjunction with the business periodic risk assessments including AMLRA, MARA and assist with any other required assessments including the enterprise-wide risk assessment

• To challenge the methodology, terminology and outcome determinations on risk assessments

Training and Awareness

• Assist the development of an annual compliance training plan

• Create and deliver tailored training on regulatory themes

• Monitor completion of compliance training programs

Governance

• To assist in the collation of management information required for inserting into committee packs

• To attend, contribute, and provide challenge to applicable governance bodies

Assurance

• To create and maintain the approved compliance monitoring framework

• To assist in the creation of an annual compliance monitoring plan

• To execute reviews detailed within an annual compliance monitoring plan

• Assist in supervising the compliance analyst(s) in the reviews and reports undertaken, ensure the execution of the plan and the issue tracker log are well maintained.

General

• To deputise for the Head of Compliance when requested

• To assist in the delivery of the annual compliance plan

• To create and maintain applicable policies and procedures

• To record and investigate incidents with regulatory impact

• To record and investigate complaints

• To ensure compliance records are accurate and up to date.

• To perform the role in line with Code of Conduct and the Firm’s values

Key Skills

• Leadership

• Communication

• Analytics

• Conflict Resolution

• Negotiation

• Time Management

• Regulatory Knowledge

• Problem Solving

Experience

• A minimum of 5 years of experience working within the financial services industry

• A minimum of 2 years of experience working within a senior compliance role

• Experience of working for a Corporate Finance firm or are familiar with products and services offered by a Corporate Finance firm

Knowledge

• Strong knowledge of the FCA Handbook to include the following sourcebooks:

• Principles of Business (PRIN)

• Senior Management Arrangements, Systems and Controls (SYSC)

• Supervision (SUP)

• Dispute Resolution (DISP)

• Conduct of Business (COBS)

• Code of Conduct (COCON)

• Fitness and Proper (FIT)

• Senior Managers and Certification Regime (SMCR)

• Knowledge of Listing, Disclosure, & Prospectus sourcebooks

• Strong knowledge of applicable legislation to include the following:

• Market Abuse Regulations 2016

• Money Laundering Regulations 2017

• UK Data Protection Act 2018

• Markets in Financial Instruments Directive 2018

• MS Office (Word, Excel, Outlook, PowerPoint, SharePoint) to an intermediate level

• Good knowledge of AI systems (such as Claude, Perplexity or Chat GBT etc)

• Good knowledge of compliance or audit systems

• Good Knowledge of trading and settlement systems

• Good Knowledge Markets, and Exchanges including AIM and Aquis

Qualifications

Ideally hold a level 4 or above CISI qualification in compliance or risk