We are currently working with an industry leading Investment Management firm who are looking to hire a Compliance Manager to join their team. The successful candidate will have a minimum of 5 years working in a compliance team in an investment firm.
- To identify, assess, monitor and report on compliance risk in two key wealth management divisions of a MiFID firm within the group.
- To oversee and contribute to the Compliance Risk Assessment for these divisions on an ongoing basis to ensure that the objectives, focus and scope of compliance monitoring and advisory activities remain valid.
- To provide accurate, consistent and timely advice to the business on an ongoing basis.
- To be responsible for the collation of regulatory reports as required.
- To lead and develop one or more compliance professionals.
- To prepare more formal quarterly updates for the Head of Compliance for the purposes of reporting to the Risk & Compliance sub-committee of the Board.
- To monitor upstream regulatory developments and assess impact, participating in project groups to prepare for implementation and communicating preparedness and risks as appropriate.
- 5+ years working in a compliance team in an investment firm with a thorough working knowledge of MiFID II, MAR and CPC and an in-depth understanding of the regulatory requirements applicable to wealth management and financial planning.
- Extensive experience of managing and influencing decisions at the most senior levels.
- Professional Certificate in Compliance/Professional Diploma in Compliance and/or a willingness to take exams in the future if required.
- Third Level Degree in Business, Finance, Law or equivalent.
- Excellent ability to communicate effectively, both orally and in writing to help educate, negotiate, gain consensus on decisions, and enforce results.
- Strength of character and a willingness to individually challenge collective thinking.
On offer is a competitive salary and benefits package along with the opportunity to join a well established brand.
Please apply through the link provided or get in touch with Aoife Stokes via firstname.lastname@example.org to schedule a confidential phone call.