Compliance Manager

Compliance Manager
Circa £65k - £75k + benefits
London / Hybrid (4 days onsite per week)
Permanent

Summary of the Role
As Compliance Manager, you will lead the day-to-day operation of the Compliance function, ensuring the business maintains a robust and effective regulatory framework. You will oversee compliance monitoring, provide expert regulatory guidance, manage compliance systems and reporting, and support the ongoing development of policies, procedures and controls.

Working closely with senior stakeholders across the business, you will promote a strong culture of compliance, identify and mitigate regulatory risks, and ensure the organisation continues to meet its obligations under relevant financial services regulation. You will also lead, coach and develop members of the Compliance team while driving continuous improvement across the function.

Main Duties and Areas of Responsibility

Lead the Compliance function, managing day-to-day activities and ensuring regulatory obligations are met across the business.
Manage, mentor and develop Compliance team members, providing coaching, performance management and technical guidance.
Oversee the maintenance and governance of all compliance registers, including Insiders, Breaches & Incidents, Gifts & Entertainment, Personal Account Dealing, Conflicts of Interest and Training.
Design, implement and continually enhance the Compliance Monitoring Programme using a risk-based approach.
Review and approve monitoring activities relating to client trades, personal account dealing, communications, social media, client transactions and other regulatory risks.
Oversee the implementation, optimisation and effectiveness of compliance monitoring systems, acting as the primary relationship manager for external compliance technology providers.
Lead investigations into compliance incidents, breaches and regulatory concerns, ensuring appropriate escalation, documentation and remediation.
Review and approve Suspicious Transaction and Order Reports (STORs), wall-crossing notifications and other regulatory reporting requirements.
Provide expert advice on Market Abuse Regulation, Insider Dealing, Best Execution, Conduct Risk, Financial Crime and Vulnerable Client requirements.
Develop, review and maintain the firm's compliance policies, procedures and internal controls, ensuring they remain aligned with regulatory developments and business objectives.
Produce and present compliance reports, Management Information (MI), risk assessments and trend analysis to senior leadership and governance committees.
Lead regulatory horizon scanning, assessing the impact of new and emerging regulations and implementing required business changes.
Develop and deliver the annual Compliance Training Plan, ensuring all employees receive effective regulatory training appropriate to their roles.
Oversee the compliance onboarding programme for new employees, ensuring all regulatory requirements are completed.
Manage compliance communications across the business, promoting awareness of regulatory responsibilities and best practice.
Support internal and external audits, regulatory reviews and information requests, coordinating responses and implementing agreed actions.
Build strong working relationships with senior stakeholders across all business areas, providing trusted regulatory advice and challenge where appropriate.
Lead thematic reviews, assurance activities and compliance projects to strengthen the firm's control environment.
Deputise for the Head of Compliance when required and contribute to wider governance and strategic initiatives.
Essential Skills, Knowledge and Experience

Significant experience in a Compliance, Risk or Regulatory role within Financial Services.
Proven experience leading or supervising compliance professionals.
Strong knowledge of FCA regulation and financial services compliance requirements.
Experience designing and managing Compliance Monitoring Programmes.
Thorough understanding of Market Abuse Regulation, Insider Dealing, Personal Account Dealing, STORs, Best Execution and Conduct Risk.
Experience drafting, reviewing and implementing compliance policies, procedures and governance frameworks.
Strong understanding of AML, Financial Crime and wider regulatory risk management principles.
Experience producing and presenting Management Information and regulatory reports to senior stakeholders.
Excellent analytical, investigation and problem-solving skills.
Strong stakeholder management skills with the confidence to challenge constructively at all levels.
Excellent written and verbal communication skills.
Highly organised with the ability to prioritise competing demands and manage multiple projects.
If you've held any of these roles or used these technologies/skills, this role could be a great fit: Compliance Manager, Senior Compliance Associate, Compliance Officer, Compliance Analyst, Risk & Compliance Analyst, Regulatory Compliance, Financial Crime Analyst, AML Analyst, Compliance Monitoring, Market Abuse Monitoring, Personal Account Dealing, STORs, Wall Crossing, Best Execution, Insider Dealing, Governance, Risk Management, Policy & Procedure Review, Compliance Training, Financial Services Compliance, CISI, MI Reporting.

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