logo for Yes Agency

Compliance Manager, (Investments Division) London - London, United Kingdom,


Our Client a financial services consultancy based in the heart of the City of London, is currently experiencing rapid growth. As such they are looking for an experienced individual to join the Investments Compliance Team, to be responsible for delivering a range of financial services compliance solutions to its clients.

The individual will need to demonstrate independence of thought, a willingness to challenge where appropriate, be able to work within the Investments Compliance Team, be pro-active and establish effective client relationships.

Key responsibilities:

• Providing a technical helpdesk function to the firm and its clients

• Undertaking a range of projects as requested by senior management

• Providing detailed audit reports and making recommendations to the clients of any areas requiring attention to detail

• Undertaking Training and Competence visits to clients

• Conducting client file reviews

• Assisting with the development of compliance policies and procedures • Referral point for junior colleagues

• Identifying and recommending technical skills training where judged appropriate by you

• Maintaining an up to date knowledge and understanding of regulatory policies, including, Financial Crime Prevention, Market Abuse, Conflicts of Interest, Personal Account Dealing, Inducements, Financial Promotions and Training and Competence and the other areas applicable to MiFID firms

• This role is not limited to the above duties, due to the nature of the market you will need to be adaptable and open to change in this position

• Commercial Awareness: must be mindful of the commercial objectives of the firm when delivering compliance assistance

• Commitment & enthusiasm: should have a desire to see the firm succeed

• Embraces change: should be adaptable to the changing requirements of the regulations and be keen to develop new skills

• Communication skills: should be able to communicate openly and effectively, both internally and externally, in order to deliver the requirements of the client

• Personal Credibility: must be able to establish and maintain trusting relationships with clients and colleagues

• Team working: fosters effective and productive working relationships. Should be considerate to the needs and opinions of others

• Very strong attention to detail: demonstrates an awareness of the immediate and the wider implications when applying regulation in practice

•Time management: must be able to prioritise and manage time and tasks effectively; this includes a readiness to delegate where possible

• Application of regulation: must have a detailed up to date understanding of FCA regulation and be able to apply this to the business requirements of the firm

• Technical Knowledge: must have a working knowledge of financial Investment products including but not limited to physical equities, derivatives/CFDs and various types of funds. Execution only, advisory and discretionary services.

• Problem Solving: demonstrates an ability to solve problems in a rational manner, self-sourcing and as part of a team

• Planning & organising: effective manager of time and detail, logical approach and very good record keeping essential Experience/Qualifications

• Relevant Financial services background and experience essential • Certificate/s in financial investments such as the CISI IOC or equivalent qualification beneficial

• Diploma/s in financial investments such as the CISI IAD, PCIAM or equivalent or working towards qualification beneficial

For more information on this role, please contact The Yes Agency. The Yes Agency is a registered insurance recruitment agency who adheres to GDPR. We are based in Manchester. Please note due to the amount of applications we receive, if you do not hear back from us within two weeks, then unfortunately on this occasion your application has been unsuccessful. For similar roles within insurance, please check out our website at