Our client is in search of a Compliance Manager to join their expanding team. This role offers the opportunity to work with a dynamic company in the asset management industry, dedicated to upholding the highest standards of compliance and regulatory excellence. The successful candidate will be responsible for ensuring that the company's operations comply with regulatory requirements and internal policies, safeguarding the legality and standardisation of business activities.
What you'll do:
As a Compliance Manager, you will play a crucial role in maintaining our client's commitment to regulatory excellence. You will oversee the implementation of compliance policies, conduct regular audits, ensure employee adherence to regulations, act as the primary contact for FCA-related matters, assist in regulatory inspections, report on compliance status, and stay abreast of changes in regulatory requirements. Your expertise will help shape the company's compliance strategies.
- Oversee and implement the company’s compliance policies and procedures in line with regulations and industry best practices.
- Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
- Ensure that all employees are aware of and adhere to relevant regulations and internal policies by providing compliance training.
- Act as the primary point of contact for all FCA-related matters, including license applications, audits, and communications.
- Assist in responding to regulatory inspections and investigations, handling compliance issues and complaints.
- Regularly report the company’s compliance status and provide recommendations to senior management.
- Stay up-to-date with changes in regulatory requirements and industry trends, adjusting the company’s compliance strategies accordingly.
What you bring:
The ideal candidate for this Compliance Manager position brings a wealth of experience from the financial asset management industry. With at least 5 years of experience under your belt, you have developed an in-depth understanding of regulatory regulations and compliance frameworks. Your strong communication skills enable you to effectively coordinate cross-departmental collaboration. Proficiency in using compliance management tools is essential for this role. Relevant certifications such as CFA, CIA or CRCM would be advantageous. Experience working with the FCA and familiarity with compliance and regulatory policies in the crypto industry would be highly desirable.
- Bachelor’s degree or higher in Finance, Law, or a related field.
- At least 5 years of compliance experience in the financial asset management industry.
- In-depth knowledge of regulatory regulations and compliance frameworks.
- Thorough understanding of compliance auditing, risk control, and internal controls.
- Strong communication and teamwork skills.
- Proficiency in using compliance management tools and software.
- Relevant compliance certifications (e.g., CFA, CIA, CRCM) are preferred.
- Experience working with the FCA is highly desirable.
- Familiarity with compliance and regulatory policies in the crypto industry.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
