Senior Compliance Manager

Job Description

Job Overview:

We are looking for a Senior Compliance Manager to support the Compliance Director in ensuring the firm’s adherence to MiFID and FCA regulations and other relevant compliance requirements for our UK regulated firm. The role involves monitoring, assessing, and regulatory submissions, whilst assisting in developing and maintaining the firm’s compliance framework in line with prevailing regulations.

This is an exciting opportunity as we plan for the Senior Compliance Manager to grow into a UK Senior Management Function within 2-years.

Key Tasks and Responsibilities

• Support SMF17 functions and responsibilities by handling delegated tasks as directed.
• Develop, write, implement, and maintain company policy documents as assigned.
• Conduct secondary corporate and institutional client account application approvals and reviews in collaboration with the operations client onboarding department (excluding acceptance of elective professional applications).
• Provide verified compliance advice, support and solutions to all departments within the firm.
• Monitor regulatory developments and provide updates for the compliance programme accordingly.
• Conduct compliance risk assessments and audits to identify potential issues and provide solutions when found.
• Prepare and submit compliance reports to senior management, and provide support and data for regulatory submissions as required.
• Coordinate and deliver, for board approval, compliance tailored training programmes for staff.
• Investigate and report the proposed resolution for compliance issues to the board, including potential breaches of regulatory requirements.
• Maintain and supply up-to-date records of compliance activities and findings.
• Assist in the preparation for and management of regulatory inspections and audits.
• Support the development and implementation of the firm’s compliance monitoring plan through My Compliance Centre and any subsequent replacements.
• Liaise with external advisors and regulatory bodies as needed.

Skills & Behaviours

• Minimum of 5 years of experience in a compliance role within a regulated financial services firm, preferably within a MiFID environment.
• Demonstrated knowledge of MiFID regulations and their application in a financial services setting.
• Strong understanding of regulatory compliance and risk management principles.
• Excellent analytical and problem-solving skills.
• Strong attention to detail with an ability to work accurately under pressure and a desire to assume responsibility.