Regulatory Compliance Manager

Posted 20 December 2023
Salary Negotiable
LocationCity of London
Job type Permanent
Discipline Compliance
Contact NameKalya Chambers

Job description

The purpose of this role is:

To oversee and manage regulatory developments for the Group and support the Compliance Advisory Team as required.

The main duties of the role:

  • Oversee regulatory horizon scanning for the Group.
  • Prepare and if required, present, reports on regulatory developments to senior management committees.
  • Contribute to regulatory change projects as required.
  • Act as the compliance lead for upcoming ESG related regulatory changes including the FCA rules on climate-related disclosures for asset managers.
  • Escalate any significant issues, weaknesses or outstanding action items to the Head of Compliance Advisory

Where required assist the Compliance Advisory team in providing day-to-day compliance advice to the business in areas such as:

  • Financial Promotions
  • SM&CR
  • Takeover Panel & Major Shareholding Disclosures
  • Suitability of Advice
  • Vulnerable Clients
  • Market abuse
  • Conflicts of interests
  • Product Governance
  • Best Execution

Skills required to undertake the role:

  • Highly organised, methodical, efficient and able meet deadlines
  • Good interpersonal skills
  • Professional and concise written style
  • Pragmatic
  • Confident in providing advice and recommendations to senior stakeholders.
  • Able to work on own initiative but also accept direction when necessary and learn quickly
  • Good analytical skills and experience of interpreting regulations as they apply to retail investments and investors
  • Good understanding of the various regulatory developments that will impact wealth management firms
  • Good working knowledge of FCA Handbook particularly COBS, COLL and SYSC
  • Knowledge and experience of implementing ESG related regulations
  • Knowledge and experience of SM&CR
  • Knowledge and experience of CASS
  • Experience gained within financial services, ideally including a discretionary investment management, wealth management, financial planning and funds businesses
  • Experience of implementing regulatory change
  • Experience of horizon scanning