Compliance Manager

  • Negotiable
  • Horsley, England, United Kingdom
  • Permanent, Full time
  • Michael Page Financial Services
  • 12 Jan 18 2018-01-12

The successful financial services- compliance manager will be a key contributor to the risk, compliance and ethics program for the business, and is responsible for assisting with the development of the firm's compliance framework and overseeing compliance with regulatory requirements, compliance policies and procedures.

A very well known financial services- Investment Manager

Based in Surrey


The successful financial services- compliance manager will be responsible for:

  • Maintain a satisfactory relationship with relevant regulatory authorities including the UK FCA and the Central Bank of Ireland.

  • Strive to continuously enhance the relationship between the Compliance Department and business units and other functions so that the regulatory agenda is included early in strategic discussions.

  • Provide assurance, guidance and evidence to the Board that all risk and regulatory matters are being appropriately managed and overseen in line with requirements.

  • Assist with the implementation of specific compliance policies and procedures, including Compliance Manual, Conflicts Policy, Financial Promotions Policy,

  • Keep abreast of current compliance and regulatory risks, as well as changes to applicable local laws, regulations and best practices which may affect the business compliance programme. Identify and interpret relevant requirements/changes in order to provide advice and support for business areas to enable them to comply.

  • Assist with the implementation of a robust risk based monitoring programme, record and communicate findings appropriately, report findings to the Board.

  • Assist with the implementation of an effective communication and training plan consistent with global compliance training and communication initiatives to ensure compliance policies and procedures are effectively cascaded to employees.

  • Provide advice and counsel on compliance, risk and local regulatory issues with the assistance of specialist colleagues such as Financial Crime, Privacy, legal counsel etc.

  • Assist in the remediation of issues raised by Internal Audit, External Audit and any other similar bodies.

  • Actively participate and follow-up on actions agreed in Global/Regional Compliance calls/meetings.


The successful financial services- compliance manager will have:

  • Detailed knowledge of the FCA requirements relating to investment consultants.

  • Demonstrated knowledge and understanding of the intracacies of compliance management.

  • Detailed knowledge of FCA regulations and guidance (SYSC, COBS etc).

  • Will have a previous knowledge of providing investment services on a cross border basis

  • Will have a thorough understanding of new product/services launches

  • Demonstrate leadership, with skills such as business acumen, strategic planning, and decision making in view of financial priorities and internal and external conditions.

  • Strong interpersonal skills and the ability to interface with all levels within the corporation and various business units.

  • Demonstrated excellent verbal, interpersonal, and written communication skills.

  • Ability to identify and analyse organisational needs with solid problem-solving abilities.

  • Surrey based

Job Offer

Competitive Package

Local based role in Surrey