Compliance Manager

Compliance - City of London, London

Ref: 1494Thursday 8 February 2024

Up to £125,000

We are seeking a highly skilled and motivated Compliance Manager to oversee the day-to-day operations of the Compliance Department in a city-based stockbroker and wealth management firm. Reporting directly to the Head of Compliance, the successful candidate will play a pivotal role in ensuring the company's adherence to FCA regulations and maintaining effective controls and procedures.

This is initially a 3 month fixed term contract with a pro rata salary of £125,000


Key Responsibilities:

Perform the role of Compliance Manager for the firm.

Work closely with the Head of Compliance to ensure all controls are in place to meet regulatory requirements.

Assist in enhancing the operational effectiveness of the company's systems and controls related to FCA regulations.

Manage the company's AML and compliance monitoring programs.

Oversee day-to-day AML activities, policies, and procedures.

Review and obtain sign-off for all external written materials, including newsletters, advertising, and marketing brochures, in line with compliance procedures.

Log, review, and advise on FCA notices and good practice guidance.

Ensure procedural amendments are implemented accordingly.

Review client complaints and take appropriate action based on procedural weaknesses or failures in internal controls.

Conduct ad hoc internal reviews in operational areas to identify weaknesses and propose/implement solutions.

Develop and prepare Compliance Management Information (MI) for monthly presentations to the Board.

Oversee internal arrangements for managing the firm's compliance with the Senior Managers and Certification Regime (SMCR).


Qualifications and Skills:

Proven experience in a Compliance Manager role within a Wealth Management / Investment Management firm

In-depth knowledge of FCA regulations and compliance best practices.

Strong analytical and problem-solving skills.

Excellent communication and interpersonal skills.

Ability to work collaboratively with various stakeholders.

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