Compliance Manager (Financial Services) – Salisbury
We are currently looking for a Compliance Manager to join our market leading financial services organisation in Salisbury.As a Compliance Manager you will support the Senior Compliance Manager and Head of Compliance in all aspects of Compliance arising within the company. The role will also be required to supervise the activities performed by the Compliance Advisers on the team as required. You will sit within the Compliance team, reporting to the Senior Compliance Manager and ultimately reporting to the Head of Compliance).
As a Compliance Manager your accountabilities/purpose is…
- Ensure the FCA’s Conduct requirements, in particular with reference to Investor Outcomes, are considered in all aspects of the work performed.
- Assist in the supervision, support & development of the Compliance Advisers within the team.
- Provide accurate, timely and informative advice to the business on regulatory matters and queries.
- Act as the alternate for the Senior Compliance Manager as required, including pertinent committee meeting attendance and new product initiative discussions.
- Preparation of departmental MI for Board reporting, Executive Committee and other key governance committees as required.
- Responsible for the review & sign off of literature and other marketing material against the FCA’s Financial Promotions rules and ensure the quality and clarity of literature supports Investor Outcomes.
- Responsible for the review & sign off of adviser facing material to ensure it is fair, clear and not misleading.
- Responsible for the review & sign off of "requests for information" responses to adviser firms requesting information and their product ranges to ensure our response is fair, clear and not misleading.
- Review of breach reports to ensure accurate, complete, and adequacy of remedial action proposed plus identifying whether the breach should be classified as reportable to the FCA or other regulatory bodies. Consider investor implications of the breach and its cause so that these are appropriately reflected in the reporting and actions taken.
- Regulatory Horizon Scanning - monitoring for, summarising and tracking the implementation of applicable regulatory developments that will impact
- the business and its investors via focused & pertinent summary papers and liaison with the Change process.
- Representing Compliance at key project meetings to implement propositional and/or regulatory change into the business.
- Development & drafting of new compliance policies and the review/ updating of existing policies in line with policies and regulatory requirements.
- Updating and presenting the regulatory element of the company’s induction programme for new joiners.
- Development and ongoing review of regulatory Computer Based Training (CBT) modules and the review of other CBTs to ensure appropriate regulatory and investor outcome representation.
- Maintenance of the departments own procedures.
- Monitoring, reviewing and timely submission of applicable regulatory returns
What skills do you need to be successful in this role?
- Detailed knowledge of the FCA Handbook – in particular COBS and CASS Handbooks, MiFID 2 and SMCR.
- Experience of acting in a compliance advisory capacity with at least 5 years relevant industry experience (including at least 2 years experience of reviewing financial promotions).
- Knowledge of Advertising Standards Association (ASA) requirements.
- Familiarity with some /all of: JMLSG requirements; Data Protection legislation; HMRC rules; ISA rules; and TPR requirements.
- Detailed knowledge of SIPP and platform structures and associated products (eg ISA, GIA and Offshore Bonds).
- Knowledge of SSAS and associated TPR regulatory requirements
- Strong written and verbal communication skills and ability to present to small groups as required.
- Good analytical and problem-solving skills.
- Strong negotiation and conflict resolution skills.
In return for your skills you will receive a competitive salary and some great company benefits.
If you have the above experience, then please apply now.
First 2 Recruit Ltd is an Employment Agency who provide permanent and fixed term contract services and an Employment Business who provide temporary services as defined under the Employment Agencies Act 1973. First 2 Recruit Ltd will collect the personal details which job seekers provide to us for the purposes of providing job seekers with work-finding services. In providing this service to job seekers we may need to transfer their personal details to our client companies.
Please note we regret that due to the high volume of CV's received we cannot give individual feedback to candidates, if you are not contacted within 5 working days of submitting your CV please assume your application has been unsuccessful on this occasion.
First 2 Recruit Ltd is an equal opportunities employer and is committed to a policy of treating all its employees and job applicants equally regardless of race, colour, ethnic origin, nationality, national origin, religion or belief, gender, sexual orientation, gender reassignment, age or perceived age, marital or civil partnership status or disability.