Compliance Manager - London Fields, United Kingdom - Reed Insurance

Reed Insurance

Verified Company

London Fields, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Compliance Manager - Established Consultancy - Hybrid - to £85k (dependent on exp)

The Compliance & Supervision Manager will be responsible for delivering a range of compliance and supervision solutions to Appointed Representative firms through its regulated principal firm.

The individual will need to demonstrate independence of thought,a willingness to challenge where appropriate, be solution led, able to work collaboratively within a team and be pro-active.

Key Responsibilities:

Advising senior business stakeholders on the firm's regulatory obligations and how they should be met in respect of retail investment platforms along with the firms associated monitoring and reporting responsibilities
Draft policies, procedures and reports as required
Produce internal and external reports on FCA policy
Plan schedule and undertake supervisory visits of appointed representative firms
Provide detailed audit reports and feedback to Senior Management
Ensure required audit actions are tracked to completion
Responsible for the implementation of any requirements of FCA rules and regulations relating to appointed representative firms
Documenting and implementing any changes to the governance plan/activity in line with the FCA rules and regulations
Provide ad hoc compliance advice
Support the Financial Promotions approval process
Provide a technical helpdesk function to the firm
Willingness to qualify up to Advanced Diploma and Fellowship level
Maintain an up to date knowledge and understanding of regulatory policies, including, Financial Crime Protection, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence

Behavioural

Commercial Awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance
Embraces change: should be adaptable to the changing requirements of the regulations and be keen to develop new skills
Communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the regulations
Personal Credibility: must be able to establish and maintain trusting relationships with others
Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others
Individual working: must be able to work under own initiative identifying when referral needs to be made

Technical

Technical Knowledge: experience in MiFID II Trade and transaction reporting together with practical knowledge of the Market Abuse Regulation Regime would be highly beneficial
Problem Solving: demonstrates an ability to solve problems in a rational manner

Experience/Qualifications

Understanding of FCA handbook specifically SYSC, COBS, CONC, SUP and DISP
QCF level 4 or working towards
Background of audit, monitoring or supervision of regulated investment firms
Developing and maintaining strong relationships with all relevant stakeholders
Systems and process experience in either front or backoffice and understanding of the trade lifecycle would be beneficial

**Desired Experience