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Compliance Manager - Investment

Job Description

New investment subsidiary of major trust is looking for a personable compliance advisory manager with a good knowledge of FCA regulations. Superb opportunity if you are looking to further your compliance career.

The Company
A high-profile financial services firm who are on track to be one of the largest pension schemes in the UK.  It’s a great place to work, people who work there feel passionate about the product and what provision it can give to people.  Based in modern offices in Canary Wharf.  This role is working in a new team, offering a huge career opportunity with ongoing training. Modern employer, high level of appreciation for work/life balance and continued career development.  Excellent bens.

The Role
New role function within expanding compliance team setting up the investment arm of this major master trust.  In this advisory role you will be outward facing, looking into stakeholder’s development plans and advising on the regulatory implications. You will be helping to build a consistent compliance function, lots of collaboration throughout the business.

Key responsibilities:

  • Provide guidance for FCA regulated areas of the business including first line investment teams
  • Advise the business on regulatory risk on operational decisions
  • Build and maintain external networks – industry forums, working groups etc.
  • Implement compliance partnering for investments, the corporation and the scheme including policies, processes and awareness raising programmes
  • Liaise with external compliance provider on the design of the outsource oversight framework
  • Provide advice and log records of FCA regulation and guidance
  • Maintain data on the FCA register, including changes, correspondence, records
  • Develop and maintain compliance policies & procedures
  • Be the point of contact with the FCA supervisory team

About You
I’m looking for a Compliance Manager with knowledge of FCA investments regulations and great people skills who has gained experience in investment compliance or compliance monitoring.  You will have a good knowledge of risk and compliance management processes, experience of regulatory reporting, enjoy sharing knowledge and gaining the confidence of stakeholders.  Any exposure to MiFID 2 would be an advantage. You are bright and adaptable with the ability to pick up concepts and quickly apply them to business.

This role is a great opportunity to develop your career in investment compliance.  If you have the skills and experience please press the ‘Apply’ now button, they’re keen to start interviewing asap.