- Firm: Top 50
- Workload: Compliance management
- Location: City of London
- Salary: £45-70k
Are you a compliance Manager with experience of operating within a CF10 role? Are you looking for a position where you can take a proactive approach to improving the business compliance processes and add value to the firm? If so, this could be a great role for you!
Our client is a leading accoutancy firm based in the City with a proactive approach to all of their internal divisions, including compliance They have restructured internally and are now looking to recruit a Compliance Manager to support all elements of their firm including their thriving financial services business.
In this role you will be exposed to varied and challenging work and have the opportunity to grow the business and be part of it's success
As the successful candidate you will:
- Have experience operating within a CF10 role
- Possess a solid academic record, industry experience, strong experience with FCA rules and ideally 2-4 years experience in an equivalent or similar role within a regulated environment.
- Be responsible for establishing and maintaining effective systems and controls for compliance with applicable
- requirements and standards in accordance with FCA regulations
- Take responsibility for identifying and assessing the compliance risks associated with the organisation's current and proposed future business activities, within the advice process
- Advise management on the applicable laws, regulations, rules and standards and inform them about any development in these areas
- Establish written guidelines to staff and service providers on the appropriate implementation of the laws, regulation, rules and standards through policies and procedures
- Exercise influence and guide all levels on compliance requirements whilst maintaining all compliance policies and supporting infrastructure
- Be responsible for assessing the appropriateness of internal policies, procedures and guidelines, ensure a follow-up of any identified deficiencies, make recommendations for amendments where necessary and supervise the implementation
- of corrective measures to mitigate the identified deficiencies
- Have experience in being the main point of contact for all information on compliance-related issues (e.g. breach of
- regulation, non-respect of procedures, conflict of interest, complaints)
- Ensure all compliance reports are submitted promptly and accurately including FCA returns
- Liaise with relevant external bodies and regulators on compliance matters
- Be competent on Mifid II regulation, GDPR, Senior Managers Certification regime etc
If you are seeking Compliance Manager jobs in London please contact Austin Rose, the Public Practice Recruitment Specialist.
Please apply on-line for immediate consideration. Once you have applied if you have any questions call 0203 22 55 060.
Please also note that due to the volume of applications, only those shortlisted will be contacted. If you have not received a response within two weeks, please assume your application for this role was unsuccessful.