Overview

A financial services company based in Buckinghamshire is looking for a Compliance Manager to join their team in a broad and varied role. Supervising 2 staff.

Main Responsibilities:

  • Involvement in key projects particularly regulatory change
  • Sign-off of all financial promotions
  • Timely completion of the compliance monitoring programme
  • The investigation and response to formal complaints
  • Monitoring of staff and directors’ personal account deals
  • On-going development of the procedures, compliance and controls manual.
  • Participating in the preparation and delivery of compliance training workshops for new staff as required.
  • Maintaining and upholding the principles, rules and codes of conduct contained in the FCA Source Books particularly SYSC, COBS, DISP and CASS.

Job Requirements: 

  • Understanding of financial markets and products
  • At least 3 years relevant experience in a compliance focussed role

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