Senior Compliance Manager

Overview

This role is to help with the day-to-day running of the Compliance operations, working closely with the Head of Compliance and other team members to ensure the Compliance department is run efficiently, all tasks are completed in a timely manner, and team projects are kept on track.

Senior Compliance Manager

Responsibilities

• Lead the delivery and management of day-to-day compliance activities.
• Provide day-to-day compliance support and advice to management, staff, and external parties within the Compliance Advisory team.
• Assist the Compliance team with the application, maintenance, and evaluation of the compliance policies and procedures.
• Promote awareness of regulatory principles and requirements and provide support for their implementation.
• Assist the Compliance team with providing advice, training, and guidance to the business on regulatory matters.
• Provide assistance in the resolution of Risk Events identified within the company.
• Assist the Compliance team with monitoring outside regulatory developments and proactively sharing.

Experience and Knowledge

• Strong Compliance background working within Investment Management/Financial Planning.
• Strong understanding of relevant UK regulatory requirements.
• Ability to keep up-to-date with current and future regulatory changes that affect the firm’s business and inform relevant teams of the same.
• Adhere to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.
• Ability to challenge in a constructive way and influence others to deliver processes and solutions in line with regulatory and best practice requirements.