Compliance Manager

Recruiter
Meraki Talent
Location
Leeds, United Kingdom
Salary
Excellent
Posted
16 Jun 2022
Closes
28 Jun 2022
Ref
15450162
Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The role offers hybrid working, with a strong work from home life balance.

Compliance is a growing area in the business, with some significant investment and there will be future career opportunities for the right candidate. The role is extremely varied, helping provide advice and support to numerous teams in the business such as dealing and settlements.
This would suit someone who has a good grasp of compliance, ideally with some knowledge of broking or middle office. Although this is not managing people at the moment, there may be an opportunity to lead a small team in the future.

Some of the duties will include:

  • Advice: Provide high quality conduct and compliance advice to support the company's business as usual and project related activities ensuring regulatory risks and issues are managed appropriately and in accordance with agreed risk appetites
  • Interpretation of regulatory obligations to key business and senior stakeholders
  • Managing Regulatory Horizon Scanning and supporting development of stakeholder reporting and analysis
  • Review and approval of financial promotions, client communications and template documentation
  • Support a range of ongoing regulatory change and implementation projects
  • Support review and updates of policy and procedures
  • Support input into the delivery of regular Compliance Department reporting to relevant Boards and governance committees
  • Work with Compliance Monitoring and Assurance and first line control teams to provide advice on their surveillance, monitoring, and oversight responsibilities


Background of the Compliance Manager:

  • Strong background in a compliance role within financial services
  • Any knowledge of broking would be a massive plus
  • Knowledge of COBS would be a massive plus
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