UK Advisory Compliance Manager – Retail Investments

THE COMPANY:

Our client is a well-known Broker based in the heart of the City, with exciting growth plans.

THE RESPONSIBILITIES:

• Partner with stakeholders to understand their needs and guide them to compliant solutions.
• Cover regulatory topics which closely affect the Business, predominantly Retail-categorized investor client base – Consumer Duty, Firm Conduct & Complaints, Financial Promotions, Product Governance and Senior Management arrangements.
• Work on topics such as Licensing and Permissions, Systems and Controls, Exchange and Market Conduct, Execution Quality, and Transaction and Trade Reporting.
• Make recommendations to UK Compliance leaders and the business, support delivery of our requirements and take a lead remediating regulatory issues.
• Own and oversee elements of 2nd line compliance framework, and will be responsible for working with the 1st line and other 2nd line functions to ensure the control environment is well designed, operationally efficient and tailored to the regulatory risk.
• Communicate with Executive and where required Board-level committees on compliance matters.
• Engage our regulators on consultations, questions and surveys.
• Initiate and complete projects at pace to improve compliance framework and implement regulatory change, and will proactively monitor the regulatory horizon for consultations and future change.

EXPERIENCE REQUIRED:

• 6+ years’ experience working within or closely adjacent to the Compliance function in Financial Services, particularly retail investment and trading products.
• Strong understanding of the FCA’s principles and Consumer Duty, and the requirements of COBS, SYSC, MAR, CASS and other related handbooks and guidance
• Familiarity with the scope of UK Financial Services permissions and regulated activities
• Ability to evidence strong written and verbal communication skills, and stakeholder management.

For further information please contact Hannah Tabatabai