We are supporting a well-established client in the investment management space in onboarding a Compliance Manager. This pivotal role reports into the Head of Compliance and provides essential support in maintaining regulatory standards, managing risk, and promoting strong governance across the business. The successful candidate will also act as deputy to the Head of Compliance when required.
Key Responsibilities
* Step in for the Head of Compliance as needed, attending key meetings, committees, and guiding junior Compliance team members.
* Ensure business initiatives and projects are executed in line with regulatory and internal compliance standards.
* Handle ad-hoc compliance matters and tasks as assigned.
* Support the management of the Senior Managers & Certification Regime (SMCR), including:
* Identifying staff in senior or certification roles and ensuring regulatory registration or notification.
* Maintaining and updating statements of responsibilities for senior roles.
* Coordinating annual certification renewals for relevant personnel.
* Reviewing and updating internal SMCR policies and procedures.
* Respond promptly to compliance-related queries from the business and clients.
* Investigate complaints and prepare regulatory-compliant responses.
* Conduct due diligence on potential clients or counterparties prior to onboarding.
* Assist in preparing responses to regulatory information requests.
* Draft, review, and maintain compliance policies and procedures.
* Support the ongoing development and execution of the Compliance Monitoring & Assurance Programme.
* Oversee regulatory filings and provide second-line oversight of transaction reporting.
* Contribute to compliance monitoring activities as required.
Experience & Skills Required
* At least five years of generalist Compliance experience, ideally covering advisory support, monitoring/testing, policy drafting/updating, committee representation, complaint handling, and liaison with clients and third parties.
* Strong knowledge of UK regulatory frameworks, including Client Assets, Code of Conduct, Conduct of Business, Customer Complaints Handling, and the SMCR.
* Familiarity with CRS/FATCA, Data Protection & Privacy, Market Abuse, and Transaction Reporting is advantageous.
* Excellent verbal and written communication skills.
* Strong organisational skills, with the ability to prioritise competing tasks and meet deadlines.
* Proactive, with a focus on continuously improving compliance processes, procedures, and documentation.
Why This Role?
This is an excellent opportunity to join a reputable financial services organisation and contribute to a strong compliance culture. You will gain broad exposure to regulatory requirements, including SMCR, and play a key role in supporting the business in achieving its objectives with integrity and professionalism.