Compliance Advisory Manager FTC

---

Job description

Compliance Advisory Manager opportunity based in London for a 6-9-month contract paying up to £70,000pa.

Your new company
Through its various subsidiaries, this leading investment manager provides services in the UK and internationally across 12 of its UK offices. The Group offers a range of investment management services to private high net worth individuals, pension funds, institutions, and trusts and has discretionary funds under management of around £17 billion as of September 2021.

Your new role
The main responsibilities with this role are to contribute to the delivery and management of day-to-day compliance advisory operations to the business, such as, overseeing regulatory horizon scanning including reporting on regulatory developments to the business, senior management, and governance bodies. Additionally, you will be required to contribute to regulatory change and business change projects as required and provide maintenance and improvement of Compliance policies in line with best practice and engagement with the business to ensure embeddedness of said policies. Within this position, you'll have additional responsibilities such as coordinating and carrying out Compliance training including induction training as required. Senior responsibilities will include, if required, to present, compliance reports and MI for management as well as escalate any significant issues, weaknesses or outstanding action items to the Co-Head of Compliance Advisory.

What you'll need to succeed
To succeed within this position, you will need compliance advisory experience gained within financial services, ideally including a discretionary investment management and/or financial planning / funds business. Additionally, having previous exposure of reviewing and approving financial promotions as well as experience of TR1 and Takeover Panel disclosures will be highly advantageous. Good working knowledge of FCA Handbook particularly COBS, COLL and SYSC will be essential. Ideal candidates would have previous experience of ESG regulations, Cross border rules, Funds and Vulnerable clients.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying for this job you accept the T&C's, Privacy Policy and Disclaimers which can be found at hays.co.uk