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Compliance Manager

Job LocationLondon
EducationNot Mentioned
Salary75,000 - 85,000 per annum, OTE
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

The Compliance Manager will work as part of the Compliance Surveillance team and a wider Compliance team to provide high quality compliance surveillance support. The manager will be expected to provide support in delivering a risk-based Compliance SurveillanceProgramme, ensure identified mitigating actions to resolve adverse findings are carried out in a timely fashion, and to produce high quality management information.Responsbilities:

  • Identify regulatory issues and risks while carrying out effective surveillance testing, completing tests within the deadlines set, and ensure mitigating actions to resolve adverse findings are carried out in a timely fashion.
  • Maintain detailed knowledge of relevant rules and legislation, analyse regulatory developments for impact on the businesses under scope.
  • Actively assist with the development of the Compliance Surveillance Programme by systematically reducing false positives, incorporating new data sets and implementing new tests
Skills:
  • Good understanding of FCA and PRA regulation relating to UK Insurance and Asset Management companies with specific focus on MAR & COBS.
  • Ability to communicate through presentations or documents the strategic rational at Board Level and across all levels of the organisation.
  • Familiarity with Bloomberg, TCA and TradeWeb.
  • Ability to manipulate and visualize data sets within visual analytics tool like Tableau, Power BI

Keyskills :
Asset ManagementComplianceCompliance MonitoringSurveillance

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