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Compliance Manager

Compliance Manager

Job Title: Compliance Manager
Contract Type: Permanent
Location: London, England
Industry:
Salary: £50000 - £80000 per annum + BENEFITS
Start Date: ASAP
Reference: BBBH15890_1497887788
Contact Name: Leena Myers
Contact Email: leena@dmjcosec.com
Job Published: June 19, 2017 16:56

Job Description

The compliance practice group is a new and exciting part of that team providing complimentary regulatory advice to the established client base.

This role will be suitable for a graduate with 3-4 years experience

You will sit as part of the Financial Regulation team and supporting the compliance directors in delivering interesting and complex regulatory advice to the retail consumer market sector comprising banks, asset finance houses, card issuers and insurers. The work involves advising on the requirements of the FSMA and FCA Handbook (and replacement legislation and rules), and other regulatory developments. You will work closely with the compliance directors and partners to enhance and grow our reputation with existing clients and new ones.

Responsibilities will include:
Providing technical compliance advice on regulatory issues and industry change
Drafting and helping the client to implement policies and procedures to ensure their compliance with requirements
Reviewing existing policies and procedures to assess degree of compliance either as a standalone activity or within an overall due diligence matter
Supporting client programmes across the breadth of FCA requirements from authorisation, marketing and distribution requirements, general handbook advisory and assurance through to remediation


ABOUT YOU
3-4 years experinece in a similar role
Regulatory experience at the FSA/FCA, medium-large financial services organisation, regulatory consultancy or similar consultancy firm
Hands on experience of the design and delivery of policies and internal control frameworks
A sound knowledge of FSMA, the FSA Handbook, relevant industry codes and developments relevant to the client base
Familiarity with the financial services industry and experience in dealing with in-house compliance and legal teams
Strong academic background and ability to produce complete and accurate work with limited supervision
Flexibility - can work on client site when necessary and able to commit effort to deliver within challenging client timescales
Commitment to team-building and promoting the group's best interests across the breadth of compliance and legal activity.