Jobs

    Compliance Manager - London, United Kingdom - Broadgate Search Ltd

    Broadgate Search Ltd
    Broadgate Search Ltd London, United Kingdom

    1 week ago

    Default job background
    permanent Accounting / Finance
    Description

    Job Brief

    The Risk & Compliance team plays a key role in protecting our customers and the business and works closely with the rest of the business. This Compliance Manager role will be a subject matter expert in investments and funds, and be responsible for advising on and overseeing the business's investing products, as well as broader Compliance duties.

    What you'll do

    Working closely with the rest of the Risk & Compliance team and the business, you will help the business build a best in class compliance program. You will be involved in, but not limited to, these duties:

    • Advise the business to help build great investing products that help our customers achieve their life goals
    • Manage relationships across the business
    • Provide compliance oversight of investing products and processes through monitoring and periodic reviews to ensure they work as planned and deliver good customer outcomes
    • Monitor our investment products and services, and provide feedback on how they can be enhanced
    • Carry out regulatory projects to deliver change
    • Prepare and maintain policies and procedures
    • Review or advise on higher risk or complex financial promotions and customer complaints to make sure we deliver fair outcomes
    • Promote awareness and provide training when necessary on regulatory requirements and expectations
    • Contribute to broader work carried out by the team to continually enhance controls
    • Keep up to date with regulatory developments and initiatives impacting retail investment firms

    Experience and skills

    • Experience in overseeing investment products
    • Detailed knowledge of UK regulatory requirements for investment products, particularly funds, and an understanding of MiFID and CASS rules
    • University educated with at least one degree
    • Great communication and listening skills
    • Fluency in English
    • Ability to work on your own with minimal guidance

    Who you are

    • A driven person who's looking to build their career at an exciting, fast-growing company that's trying to make a positive mark on the world.
    • Has a strong bias for action.
    • Has an independent and questioning mind.
    • Able to adapt quickly and manage priorities.
    • Takes a methodical, analytical approach to make good judgements.
    • Unafraid to take on new challenges, developing deep knowledge in new areas.
    • Naturally personable, a great communicator who has a passion for their work and the people they work with.
    • Knows how to have fun whilst maintaining a professional outlook.

    What's in it for you?

    • Opportunity to join a fast-growing, award-winning and super ambitious business.
    • Work with a friendly team of highly motivated individuals.
    • Be in an environment where you are listened to and can actually have an impact.
    • Thriving collaborative and inclusive company culture.
    • Competitive remuneration package.
    • Company shares
    • Company pension scheme
    • Hybrid working environment
    • Home office furniture allowance
    • Personal Annual Learning and Development budget
    • Private Medical Insurance
    • Health Cash Plan (cashback on visits to the dentist & opticians etc)
    • Cycle to work scheme
    • Gympass subscription to a variety of gyms and wellbeing apps
    • Enhanced parental pay & leave
    • 25 days holiday + bank holidays with additional days added with length of service.

    Our office is in London, by the Oxo Tower

    Visa Sponsorship:

    At this time we cannot offer visa sponsorship for this role and we cannot consider overseas applications.

    Working Policy:

    We have a hybrid policy that includes 2 days from our London office and 3 from home. If the role states it is either hybrid or remote candidates must be based within the UK.

    At the business, we promote, support and celebrate inclusion, diversity and equity for all, so that everyone can bring their full selves to work. We believe that diversity drives innovation, and that if our team is representative of our community of customers, we can better support their needs. To ensure our recruitment processes provide an equal opportunity for all applicants to succeed, we encourage you to let us know if there are any adjustments that we can make. We are open-minded and always willing to go the extra mile to ensure all applicants can present their full self and potential

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