Compliance Manager - Surrey
- Salary: GBP40000 - GBP50000 per annum
- Location: Dorking, England, United Kingdom
- Job Type: Full time
- Company: JCW Search
Our client, a fast growing asset management firm in Surrey is looking to hire an experienced compliance manager to join the business as they scale operations.
To assist the Managing Director in keeping the firmmmmmm fully complaint with relevant regulations and aspiring to best in industry practise.
The Compliance Manager will be authorised by the FCA to hold the role of CF11 for the firm
Duties will include:
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Conduct or direct the internal investigation of compliance issues.
- Assess product, compliance, or operational risks and develop risk management strategies.
- Identify compliance issues that require follow-up or investigation.
- Disseminate written policies and procedures related to compliance activities.
- File appropriate compliance reports with regulatory agencies.
- Lead relationship with external compliance consultants to address difficult compliance issues or get confirmation of best practice.
- Discuss emerging compliance issues with management, employees, board.
- Collaborate with human resources departments to ensure the implementation of consistent training practice and requirement.
- Advise MD or business partners on the implementation or operation of compliance programs.
- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.
- Provide employee training on compliance related topics, policies, or procedures.
- Provide assistance to internal or external auditors in compliance reviews.
- Prepare management reports regarding compliance operations and progress. Presenting to board.
- Monitor compliance systems to ensure their effectiveness.
- Report violations of compliance or regulatory standards to duly authorised enforcement agencies as appropriate or required.
- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organisational processes.
- Design or implement by working with MD or Office Manager improvements in communication, monitoring, or enforcement of compliance standards.
- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- Direct with the MD the development or implementation of compliance-related policies and procedures throughout an organization.
Experience and Knowledge:
- Extensive experience of compliance with a financial company
- Experience of maintaining and developing procedures to meet regulatory requirements
- Experience of producing documents and reports including proof reading
- Experience of communicating with clients, colleagues and third-party personnel at all levels both orally and in writing
- Excellent knowledge of IT systems to include databases, Excel, Word, Outlook, and Internet Explorer
- Highly organised with keen eye for accuracy and attention to detail
- Excellent time management and prioritisation skills
- Ability to work under pressure overcoming obstacles and managing high and/or fluctuating workloads to meet deadlines
- Excellent written, verbal and interpersonal communication skills
- Excellent numerical skills
- A self-starter, with 'can-do' attitude who is willing to work unsupervised and able to take the initiative
- A flexible team player, prepared to take on several tasks to support the department and company as a whole
- Comfortable interacting with wide range of people, including clients, colleagues and third-party personnel.
- Customer focussed
- Flexibility to accommodate occasional early/late work and external events
- Enthusiasm for company's aims and objectives