modern approach

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Compliance Manager

Location: Bristol

Salary: £30,000 - £35,000

Type: Permanent

Category: Compliance

Ref: SW/2388

This Compliance Manager position, based in central Bristol, near a variety of shops, bars and restaurants, benefitting from easy access by bus and park and ride, will see you reporting into and working closely with Chief Compliance Officer, other compliance managers and risk analysts.

You’ll assist with monitoring and reporting the results of the company’s compliance and ethics efforts, providing guidance for the Executive Committee management team, and employees, on matters relating to compliance.

You’ll undertake internal monitoring and assessment and provide assurance for the internal systems across the firm and become able to identify risks to the business and articulate these in an appropriate manner, record for audit trail and work with teams for mitigation and actions.

Salary on offer, for this compliance manager role, is up to £35,000 with excellent benefits to include 25 days holiday plus public holidays, 4 x Death in Service, PMI and Income protection, Childcare vouchers, Cycle to work scheme, Gym subsidy and discretionary bonus scheme. Also, upon successful completion of your probationary period you’ll benefit from a 20% non-contributory pension contribution

 

As Compliance Manager, whilst not exhaustive, your day to day activities will include: 

  • Engaging with the Corporate Compliance Program, helping the team to function as an independent and objective body that reviews and evaluates compliance issues and concerns within the business
  • Signing off financial promotions to ensure compliance with the relevant rules and regulations, working with the marketing team
  • Record keeping and the ongoing requirements of regulatory reporting for breaches, complaints, financial promotions, data protection, HMRC requires etc.
  • Undertaking adviser due diligence
  • Sorting queries and compliance issues as well as dealing with incidents and issues and logging same with ongoing management reporting
  • Helping to design training and CBT programs as appropriate
  • Working with the Human Resources Department and others as appropriate to establish, develop and deliver an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
  • Helping to ensure that the Executive Committee, management and employees are in compliance with the rules and regulations of regulatory bodies, that company policies and procedures are being followed, and that behaviour in the business meets the company’s Standards of Conduct
  • Helping to monitor, and as necessary, helping to coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
  • Consulting with the Chief Compliance Officer and or Senior Compliance Managers as needed to resolve difficult or complex compliance issues
  • Acting as a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution

You’ll have:

  • Relevant compliance experience gained within a similar role within an investment management company, DFM,  or platform environment
  • Financial promotions experience
  • The ability to deal with complaints/incidents
  • Working knowledge of the FCA requirements and regulatory framework
  • Good communication, interpersonal and relationship skills
  • A hunger to gain experience of operating effectively as an influential, competent and business enabling compliance professional in a regulated environment
  • The ability to work well under pressure coupled with strong organisational skills
  • A good eye for detail; be efficient and accurate
  • Good Microsoft Office skills

Company information:

An award-winning business who offer sophisticated investment management services via an online portal to the IFA/Wealth Management profession. Named as one of 2015’s top 50 financial technology companies in Europe, with over £2billion in assets under management and more than 1000 adviser firms using their services.  A dynamic and growing business offering an excellent working environment/culture coupled with study support and good career progression opportunities.

 

Next steps:

If you apply for this position, we thank you for taking the time to do so; all applications are read thoroughly. If you do not receive a response from us within 2-3 working days it will be because your application, on this occasion, has not been successful. 

 

 

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Sandringham Wood
54 Parrys Lane, Stoke Bishop
Bristol, BS9 1AQ

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