Compliance Manager

My client is an Investment Management firm based in Glasgow with over GBP6billion of assets currently under management. Description The Compliance Manager responsibilities are formed from Business-wide and Role-specific deliverables: Business-wide Maintain the second line of Compliance defence by ensuring team adherence to business processes and procedures that are designed to meet the regulatory standards set out in the relevant FCA rules and guidance. Maintain the second line of defence by rigorous testing of internal controls, processes and procedures. Treat clients fairly at all times. Use the Training and Competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently. Role-specific Preparing the annual compliance plan in conjunction with the Head of Risk and Compliance Responsible for the execution of the monitoring plan across all business activities Maintenance of Tracker to record all findings and recommendations arising from monitoring program Manage the production of any Management Information required by the Head of Compliance and Board. Responsible for identifying training needs within business - both internally within Compliance and wider across business Preparation of training material and delivery to business Identify, develop, and retain talent to ensure effective succession planning Manage direct reports by providing an appropriate level of leadership, support and guidance to team members. Promoting an awareness of, and compliance with, S&J's compliance policies and procedures. Report promptly any identified risks, which are not already subject to control processes to Head of Compliance. Represent Compliance in multi-function teams (such as Projects) and act as a proactive and trusted advisor on any issues that may have a regulatory impact, promoting a consistent, adaptable and effective approach to issue resolution. Develop business relationships to aid cross working between compliance and the wider business Play an active part in industry forums and seek to extend peer relationships. Profile The successful candidate for the Compliance Manager shall have: Methodical with strong analytical skills; ability to interpret and summarise complex information for onward communication at all levels including Senior and Executive Management, and externally. Strong teambuilding and people-management skills to manage direct reports and aid staff development. Consultancy skills in order to be a Trusted Adviser to the business on Compliance related issues. Strong influencing skills with the ability to build persuasive cases and gain buy in from stakeholders. Excellent written and verbal communication skills. Self-motivated and highly organised with the ability to work under pressure handling multiple tasks with changing priorities. Detailed knowledge of the FCA handbook, regulatory requirements and underlying legislation with the ability to practically relate specific regulatory requirements to a wealth management business. Good understanding of how the regulatory regime has evolved, how it continues to develop and awareness of broader regulatory issues. Extensive understanding of a broad range of business policies, processes and systems and controls typical of a retail financial services business. Understanding of the business and operational functions typical of a retail financial services business. Job Offer GBP60,000-GBP80,000 pa +company benefits.