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Compliance Manager

  • Salary: Up to £55000 per annum
  • Location: Birmingham, West Midlands
  • Sector: Compliance
  • Job type: Contract
  • Date posted:
    04 Mar 2019
  • Job reference: 32377

Compliance Manager - 6 - 9 month contract (maternity cover)

Leading privately owned Swiss Bank, currently recruiting for a new Compliance Manager. The role is the second line of defence function, providing compliance oversight and challenge, as well as reporting, support and advice to in relation to its front and back office functions. And establishing policies and training to address the internal and external regulatory rules and requirements relating.

Key Duties:

  • To deal with the day-to-day compliance queries relating to all compliance matters such as FCA conduct of business rules, suitability and appropriateness, PRIIPS regulation, training and competence and LSE regulation
  • Providing compliance oversight and challenge, including reporting to various high level committees and deputising for the Head of Regulatory Compliance where required
  • To oversee tasks completed by the Compliance Administrator and assist in completing periodic market abuse and best execution monitoring
  • Investigation of and responding to client complaints
  • To analyse business risk incidents and record regulatory breaches where required
  • To have an understanding of conduct risk and advising upon such, identifying, assessing, monitoring and managing compliance risks and requirement
  • To assist in ensuring that group directives and guidelines are implemente
  • Developing and maintaining strong and up-to-date knowledge of regulatory requirements and applying them appropriately
  • To ensure that the firm adheres to required FCA regulations and guidance, including adherence to the FCA rules on ensuring suitability of investments for clients and any other bodies including LSE
  • To escalate and report significant regulatory issues to the UK Head of Compliance, Managing Director and management and fiduciary committees
  • To monitor conflicts of interest and ensure that they have been managed in accordance with group policies and procedures
  • To design and deliver training programmes as relevant to the front and back office
  • Perform such other duties as the firm may request from time to time in accordance with the contract of employment

Key Skills and Competencies:

  • Experienced in the financial services regulatory environment and ensuring compliance with the relevant local and global regulatory requirements
  • Conduct of business and market abuse knowledge mandatory
  • Client assets knowledge preferred
  • Proven knowledge/experience of firm's products and services preferred
  • Industry and market awareness and knowledge
  • Managementt and organisational skills
  • Results-driven and commercially aware of implications of regulatory developments
  • Inter-personal skills: ability to work with a cross-section of areas
  • Team work skills
  • Strong and clear communication skills
  • Decision making and problem solving
  • Strategic thinking
  • Persuasion
  • Analytical and reasoning skills
  • Analytical and reasoning skills

Please visit the IDEX Consulting Ltd website for further opportunities. If your application is successful, we aim to contact you to discuss the opportunity in more detail within 2 working days. Due to the overwhelming application response we receive through various sources, should you not hear from us within one week then please assume your application has been unsuccessful. If your application is unsuccessful, the information supplied may still be retained for up to 3 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy.

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