Compliance Manager
A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager.
They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector.
What’s in it for you:
· Salary: up to £65k with some possible flexibility for the right candidate
· Hours: Monday to Friday 9 – 5.30
· 20 days holiday which rises 1 day per year up to 25 days
· Life Assurance
· Sickness cover
· Excellent training
· Social events
· Friendly and welcoming team
· Career progression
Key Responsibilities:
· Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements.
· Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business.
· Ensure all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.
· Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes and pronouncements as appropriate.
· Engage with clients as appropriate to enhance the company’s service in the delivery of critical or important functions.
· Participate in and contribute to the compliance culture of the broader management group of the businesses.
What the employer is looking for:
· Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector
· Appropriate qualifications in financial services
· Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally
· Display sound and proportionate judgement
· Display a commercial outlook
· Awareness of the FCA handbook and data protection
Red Door Recruitment is committed to encouraging equality, , and among our workforce, and eliminating unlawful discrimination. Full details available on our website.
Please note due to the number of applications we often receive; only shortlisted applicants will be contacted