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