modern approach

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Technical Compliance Manager, Bristol

Location: Bristol

Salary: negotiable

Type: Permanent

Category: Compliance & Risk

Ref: SW/2523

A very successful, award-winning Investment Management organisation, with prestigious offices in Bristol close to Temple Meads train station, has a new opportunity for a Technical Compliance Manager. This is an exciting opportunity to join this well-respected company that bring together discretionary investment management, platform services and intuitive investment technology with over 1000 adviser firms using their services across the UK.

You’ll implement all necessary actions to ensure achievement of an effective compliance program. The objectives will be monitor and report 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.

 

This Technical Compliance Manager role will see you:

 

  • Ensuring regulatory reporting is completed on time and accurately.
  • Reviewing and approving financial promotions to ensure compliance with the relevant rules and regulations, working with the marketing team to help build their knowledge.
  • Acting as compliance lead on projects across the business. Collaborating with other departments (e.g., Risk Management, Internal Risk and Analysist, Operations, etc.) to ensure that Risk and Compliance issues are considered within each project.
  • Responding to complex queries providing support and guidance to resolve such issues with limited support.
  • To support the Senior Compliance Manger and Head of Compliance 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

 

What's in it for you?:

 

  • Excellent annual remuneration
  • Non-contributory Personal Pension scheme
  • Substantial holiday allowance
  • Life Assurance & Income protection insurance
  • Private health insurance

You’ll have:

  • Proven experience of operating effectively as a compliance subject matter expert who is influential, competent, and business enabling.
  • Excellent knowledge of relevant FCA requirements and regulatory framework, along with an ability to find, analyse and apply new areas of regulation as they arise.
  • Self-motivated with the ability to perform with limited supervision
  • Maintaining relevant knowledge and awareness and continually developing knowledge as regulatory landscape changes.
  • Excellent communication skills particularly written with well-developed analytical and reasoning skills

 

 

Next steps:

If this interests you and you’d like to find out more, please apply now or call Jess Wood on 0117 962 5005; a full and detailed role profile is available - we can then discuss your career aspirations in more detail and ascertain if this is an opportunity you'd like to explore further.

By applying for this position, you agree to Sandringham Wood processing your personal data, in line with our privacy notice  https://www.sandringhamwood.com/privacy-notice

 

 

 

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

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