Compliance Manager
- Employer
- Confidential
- Location
- Leeds
- Salary
- Competitive
- Closing date
- 13 Jul 2022
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
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The role is part of the EMEA Risk & Compliance Department within the Global Corporate Markets division of Link Group. The team are responsible for delivery of all aspects of the Compliance function for its European regulated entities. Reporting to the Senior Compliance Manager you will support delivery of the required responsibilities detailed below. Hybrid working will be in line with the Group's flexible working policy.
The primary responsibility of this role is to advise and support the business meet their regulatory obligations, in relation to processes, systems and controls, for both current and pipeline regulatory and legislative changes.
The role involves regular engagement with first line businesses and working collaboratively with second line functions, including those across the wider Link Group. Requiring excellent communication skills and the ability to deal effectively in a busy, complex environment with competing priorities.
The Compliance Manager will promote and support continuous improvements across the business to minimise risk and to ensure changing business/industry trends are understood and regulatory compliance is maintained.
What you'll be doing:
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
Operational Management Breaches and incidents: Maintain regular engagement with and provide feedback to key business and senior stakeholders on compliance breaches and incidents; facilitation of root cause analysis
Supporting business with Regulatory responses
Coordinating industry forums and engagement
Promote & support continuous improvement of operational processes
Embed & promote strong sustainable risk/compliance practices throughout team and organisation
Develop and maintain relationships with key stakeholders
Line management of Compliance Associate(s)
Demonstrate Role Model behaviour
Develop and maintain relationships with key stakeholders
Line management of Compliance Associate(s)
Demonstrate Role Model behaviour
What we're looking for:
Minimum 5+ years' experience in Financial Services industry compliance
Sound understanding and working knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other regulators
Strong organisational skills with attention to detail
Ability to exercise independent judgement and discretion in performing duties
Relevant qualification (or willingness to study)
About Link Group / Fund Solutions:
Our Funds Solutions division is a leading independent Authorised Fund Manager and provider of fund administration and transfer agency services. We leverage our specialist knowledge and technology to support traditional and alternative funds in UK, Ireland, Luxembourg and Australia, manage GBP100bn of assets with circa 500 people.
With a focus on strong governance, regulatory expertise and risk management, our business helps to manage regulatory compliance for asset managers and investors. Our unique place in the market, combined with our partnership approach, depth of experience and well-invested systems, enables us to support investment managers through the challenges of changing market and investor needs, and, as a result, help them to enhance returns, minimise costs and mitigate their risks.
What's in it for you?
A very competitive basic salary plus benefits.
23 days' holiday to start, (rising to 25) plus Bank Holidays, with the opportunity to buy extra leave.
Company matched pension scheme, private medical allowance, life assurance, a cycle2work scheme???and plenty more.
Voluntary benefits designed to suit your lifestyle - from discounts on retail and socialising, to health & wellbeing, travel and technology.
The possibility of a hybrid work pattern.
You'll get the chance to follow your chosen career path anywhere in Link Group. You'll be joining a network of 7,000 experienced, innovative and dedicated individuals across multiple teams and countries. There are countless opportunities to learn new skills and develop in your career and we'll provide the support you need to do just that.
What we hope you'll do next:
Choose 'Apply now' to fill out our short application, so that we can find out more about you.
We're an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and their passion and we're committed to creating an inclusive environment for all employees
The primary responsibility of this role is to advise and support the business meet their regulatory obligations, in relation to processes, systems and controls, for both current and pipeline regulatory and legislative changes.
The role involves regular engagement with first line businesses and working collaboratively with second line functions, including those across the wider Link Group. Requiring excellent communication skills and the ability to deal effectively in a busy, complex environment with competing priorities.
The Compliance Manager will promote and support continuous improvements across the business to minimise risk and to ensure changing business/industry trends are understood and regulatory compliance is maintained.
What you'll be doing:
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
Operational Management Breaches and incidents: Maintain regular engagement with and provide feedback to key business and senior stakeholders on compliance breaches and incidents; facilitation of root cause analysis
Supporting business with Regulatory responses
Coordinating industry forums and engagement
Promote & support continuous improvement of operational processes
Embed & promote strong sustainable risk/compliance practices throughout team and organisation
Develop and maintain relationships with key stakeholders
Line management of Compliance Associate(s)
Demonstrate Role Model behaviour
Develop and maintain relationships with key stakeholders
Line management of Compliance Associate(s)
Demonstrate Role Model behaviour
What we're looking for:
Minimum 5+ years' experience in Financial Services industry compliance
Sound understanding and working knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other regulators
Strong organisational skills with attention to detail
Ability to exercise independent judgement and discretion in performing duties
Relevant qualification (or willingness to study)
About Link Group / Fund Solutions:
Our Funds Solutions division is a leading independent Authorised Fund Manager and provider of fund administration and transfer agency services. We leverage our specialist knowledge and technology to support traditional and alternative funds in UK, Ireland, Luxembourg and Australia, manage GBP100bn of assets with circa 500 people.
With a focus on strong governance, regulatory expertise and risk management, our business helps to manage regulatory compliance for asset managers and investors. Our unique place in the market, combined with our partnership approach, depth of experience and well-invested systems, enables us to support investment managers through the challenges of changing market and investor needs, and, as a result, help them to enhance returns, minimise costs and mitigate their risks.
What's in it for you?
A very competitive basic salary plus benefits.
23 days' holiday to start, (rising to 25) plus Bank Holidays, with the opportunity to buy extra leave.
Company matched pension scheme, private medical allowance, life assurance, a cycle2work scheme???and plenty more.
Voluntary benefits designed to suit your lifestyle - from discounts on retail and socialising, to health & wellbeing, travel and technology.
The possibility of a hybrid work pattern.
You'll get the chance to follow your chosen career path anywhere in Link Group. You'll be joining a network of 7,000 experienced, innovative and dedicated individuals across multiple teams and countries. There are countless opportunities to learn new skills and develop in your career and we'll provide the support you need to do just that.
What we hope you'll do next:
Choose 'Apply now' to fill out our short application, so that we can find out more about you.
We're an equal opportunity employer, which means we'll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and their passion and we're committed to creating an inclusive environment for all employees
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