My client, a leading global financial services/share registration business, are recruiting for a Compliance Manager to join their team in London on a 12 month fixed term contract. Candidates should have sound understanding of regulatory requirements and a proficient understanding of the FCA rules, particularly CASS, COBS, DISP and SYSC.
The Compliance Manager role involves managing a team, whose purpose is to engage and deliver an effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating in a compliant manner.
Experience & Personal Attributes
- Minimum 5 years’ experience in Financial Services industry compliance.
- Sound understanding and working knowledge of regulatory requirements especially, but not limited to, the Financial Conduct Authority or other regulators.
- Proficient understanding of the FCA rules, particularly CASS, COBS, TC, DISP and SYSC.
- Personal commitment to and visible role modelling of the organisation's behaviours and values. This will include in depth experience in the development and embedding of a strong culture, one which adheres to FCA conduct rules and embeds positive behaviours & values.
- Strong organisational skills with attention to detail.