Compliance Manager

Responsibilities:

• Support the business and clients on understanding regulatory policy, procedures and process
• Support and advise on how regulated process work pre and post client implementation
• Advise on regulatory enhancements and controls working closely with the Risk Business Partner and /team
• Work closely with the Compliance lead and compliance team to support regulatory changes that may effect the business and clients
• Assist in implementing any regulatory changes to SOPs required (and necessary guidance and training provided)
• Advise on regulatory queries from the 1B, 1LOD teams and more broadly from the business and/clients
• Support the Compliance Lead and the work closely with Risk to review the emerging risks, breaches and support on remediation projects
• Support on regulatory training and guidance
• Support regulatory projects and initiatives
• Support to develop, implement, and maintain compliance policies and procedures
• Monitor regulatory developments and work closely with the Compliance team and lead to ensure timely updates to internal controls
• Support with conducting reviews to identify potential compliance issues
• Prepare and submit compliance reports to senior management
• Investigate and support to resolve compliance breaches or concerns
• Maintain records of compliance activities and decisions

Essential Skills:

• Previous experience of advising on Policies and SOPs as well ongoing advisory Regulatory Interpretation, covering both Pensions and Retail Investments
• Experience in senior stakeholder management
• Good working knowledge, on ISAs, Investments and Pensions, Consumer Duty, is mandatory

Desirable Skills:

• Regulatory knowledge and experience in Pensions, FCA, and PSR regulations
• The ability to work independently and as part of wider team globally
• Efficient and well organized
• Strong communication skills both written and verbal
• Credible and assertive manner
• Discretion, tact and resilience
• Professional manner with the ability to influence and persuade