Senior Compliance Manager

My client is a London based pensions administration company.

Due to an internal promotion we are assisting with the recruitment for a Senior Regulatory Compliance Manager to work in an advisory capacity. This is a critical hire and you will report directly into the Head of Compliance.

Responsibilities will include:

Assisting in the development and implementation of a Compliance framework that enables the provision of compliance advice. This will include policies, processes and raising awareness through training as required.

Assisting and supporting the business to make operational decisions regarding regulatory risk and will be confident to provide robust challenge as needed.

Submitting periodic FCA returns (financial and non-financial) in an accurate and timely manner.

Maintenance of data on the FCA register and management of changes including standing data, approved persons, appointed representatives, variations of permissions, cancellations of permissions and waivers as required;

Management of the approved persons framework including applications and the fitness and probity framework;

Maintenance and development of the Compliance Policies and Procedures, including attestations and reporting control effectiveness;



This person will be an important member of the team and we seek a highly motivated professional who is keen to add value in this role.

Ideally you will have the following experience:

Compliance Advisory experience gained from within financial services. Pensions investments experience will be considered highly advantageous but is not essential if you have a strong desire to learn.

Experience of regulatory reporting, the SMCR and managing regulatory reporting.

Detailed knowledge of Risk and Compliance management processes ideally (but not essentially) related to investment conduct of business requirements.

Detailed knowledge of FCA regulatory rules and requirements (ideally related to investments)

Strong communication skills and previous compliance advisory experience are essential for this role and this experience must be clearly articulated on your CV.

This client offers an excellent work life balance as your time will be split equally between their offices in London and working from home. This client is fast expanding their compliance team and so it's an excellent opportunity for an ambitious individual.



Please click to apply.