Regional Compliance Manager - Asset Management Regional Compliance Manager - Asset Management …

Goodman Masson
in London, England, United Kingdom
Permanent, Full time
Last application, 31 Mar 20
GBP50000 - GBP75000 per annum
Goodman Masson
in London, England, United Kingdom
Permanent, Full time
Last application, 31 Mar 20
GBP50000 - GBP75000 per annum
A well established asset manager are seeking a Regional Compliance Manager to join their team.

A well established asset manager are seeking a Regional Compliance Manager to join their team.

The regional team provides Compliance support within a designated region of the advisory business, predominantly in respect of the regulatory T&C Supervision monitoring and compliance support. The ideal candidate will be responsible to maintain and monitor Compliance/Regulation wherever appropriate in respect of the internal business to ensure FCA Regulatory requirements are being met within the business.

Responsibilities:

  • Support the Central Compliance monitoring plan
  • Prepare for regulatory change by identifying potential effects and support the business in the development and implementation of compliant solutions
  • Develop a solid working knowledge of all FCA regulated product ranges, FCA Principles and Rules
  • Demonstrate adherence to Training & Competence scheme (incl. Induction Courses for Practice staff)
  • Audit the maintenance, of Advice Management and Adviser T&C records as required

Requirements:

  • Diploma status level 4 in Financial Planning or minimum of FPC or CFP equivalent and working towards diploma level
  • Good working knowledge of FCA Principles and Rules
  • Demonstrable experience of T&C regime and implementation
Company Overview

With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.

We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.

 

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