Compliance Manager - Beckenham
GBP45000 - 60000 / annum
6th February 2018
The Compliance Manager role Robert Half Risk & Compliance has been asked to help find top talent for is with a leading leading global administrator of financial ownership data within the pension fund industry and across corporate markets.
They deliver a suite of services that assist organisations globally to meet the obligations that come with the public ownership of their companies or products, as well as managing their interactions with the capital markets.
**Please note this role is located in Beckenham, South London.
Operating from offices in eleven countries throughout Australasia, Asia, Africa, the Middle East and Europe. The companies uniquely integrated range of corporate markets capabilities includes registry, employee share plans, investor relations and stakeholder management.
The ideal candidate for the role of Compliance Manager should relate to the below:
- To oversee and assist the business with completion of their annual plan and ensure it dovetails with the Compliance Plan with the appropriate risk-ranking and prioritisation given.
- To work with and develop other members of the Compliance team who may undertake regulatory change work and other ad-hoc appropriate tasks as required.
- To remain up to date with all regulatory developments, analyse and assess the implications for the CIRGT/CRL businesses.
- To create and maintain a compliance culture within the business, not merely for the benefits it gives, but also for the long-term commercial benefits that flow from running the business ethically.
- To assist the Head of Compliance as required, including attendance at any of the Governance Forums.
- To develop into other Compliance areas, such as advisory and AML either as part of monitoring or as separate standalone pieces of work.
- To possess a technical appreciation of the business being controlled as well as a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the company, ensuring that CIRGT conducts its regulated business activities in line with the FCA rules.
- Identify, monitor and assess compliance breaches, complaints and incidents and ensure that these have been responded to promptly by the business and details of any material breaches are reported to the CEO/Board/FCA on a timely basis as appropriate
- To remain up to date with all regulatory developments and assessing the implications for the CIRGT/CRL businesses and, where directed, complete a gap analysis and recommend/implement changes including update of Compliance policies and monitoring plans, providing timely and accurate updates to the Head of Compliance, Risk Committee and Board, and Group etc., as appropriate.
- To carry out Compliance monitoring, as directed.
- Where relevant, to review all marketing and advertising to ensure all such items comply with the FCA requirements on Financial Promotions and Treating Customers Fairly principles.
- To provide clear and accurate guidance to the business where queries arise.
- To provide coaching and guidance to other team members ensuring that work is delivered to plan.
- To review the Compliance, other manuals and internal policies to ensure these are up to date and fit for purpose.
- To undertake ad-hoc project work and/or become the Subject Matter Expert in compliance tasks as periodically advised by the Head of Compliance (e.g. advisory and AML).
- Assist the business/compliance function in preparing for FCA and other external visits.
Qualifications and Skills
- Minimum 5 years experience in compliance and working within FCA regulatory framework
- Either existing qualification or commitment to obtain below qualification within 18 months of commencing role.
- SII Investment Operation Certificate or ICSA CCSP or other equivalent professional qualification covering the following topics: Introduction to Securities and Investments; FCA regulation; and other technical module
- Desired Qualifications:
- Willingness to study for additional compliance qualifications (e.g. Compliance Diploma)
- Essential Knowledge/expertise
- Knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other Regulators.
- Proven track record of managing tasks and objectives in an efficient and timely manner.
- Experience in interpretation and implementation of regulatory change within a business environment.
- Understanding of CIRGT's regulated products and services, and the applicable FCA rules (CASS, COBS, FEES, TC, SYSC, DISP, SUP ) and legislative requirements.
- Knowledge of Client Assets, Custody, Dealing, and related technical aspects of the Securities / Asset Management / Stockbroking sectors
- Strong background in the operational, technical aspects of the securities/and or share registration and employee share plan business
- Report writing, time management, good people management and team working skills
- Good background in computer literacy and knowledge of Microsoft Word/Excel.
- MiFID II
- Proven track record of managing and implementing regulatory change in an FCA regulated business.
Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms: https://www.roberthalf.co.uk/privacy-statement