Compliance Manager - full or part time

Basingstoke, Hampshire
to £50K FTE basic plus benefits
03 Feb 2017
03 Mar 2017
Contract Type

 Our client is a young, fast-paced financial services company, they are recruiting a part-time Compliance Manager to report in to the Head of Compliance Monitoring at their Basingstoke office.

Responsibilities include:

  • Act as the first point of contact on compliance and financial crime matters for the firm’s investment, mortgage, structured finance and consumer credit businesses
  • Provide compliance support, challenge, and engagement on regulatory matters (e.g. MCOB, COBS, CONC, SYSC, Financial Crime, Conflicts of Interests)
  • Ensure key issues, risks and incidents are communicated/escalated as needed
  • Work with the business to address any weaknesses identified during Compliance Monitoring reviews or other assurance activity
  • Review and approve financial promotions, ensuring compliance with FCA rules and requirements
  • Assist in the interpretation and implementation of new compliance and anti-financial crime regulations
  • Support the delivery of Compliance Training to the business, including senior management
  • Lead ad hoc compliance and regulatory projects as necessary
  • Support the Compliance team in any ad hoc activities as required by the business
  • Work closely with the firm’s legal and internal audit functions and other colleagues as required

You will have:

  • Degree level (or equivalent) education in relevant discipline
  • Previous experience within a Compliance Advisory or Risk function
  • Working knowledge of financial regulation in relation to FCA handbooks
  • Experience of building and maintaining open and effective relationships

Salary: up to £50K FTE plus benefits
Location: Basingstoke with occasional working days in London
Flexibility:  4 or 5 days a week