Compliance Manager
- Recruiter
- Anonymous
- Location
- Hampshire
- Salary
- 30000.00 - 35000.00 GBP Annual
- Posted
- 30 Apr 2018
- Closes
- 28 May 2018
- Sectors
- Accountancy
- Contract Type
- Permanent
- Hours
- Full Time
Compliance Manager
Marlborough Fund Managers Limited was formed in 1986. The wider Marlborough Group consists of a number of businesses which provide products and services in the Financial Services arena. The Group continues to see strong positive organic growth and will look to continue to expand through further acquisitions where this is viable. The Marlborough Group has in excess of GBP9 Billion under management in a mixture of unit trusts, open ended investment companies (OEICs) and discretionary management portfolios.
Position: Compliance Manager
Location: Lichfield, West Midlands
Job Type: Full Time, Permanent
Hours: 35 hours per week, Monday to Friday 9:00am - 5:00pm
Salary: GBP30,000 GBP35,000 DOE
Benefits: 25 days annual leave plus public holidays; Competitive salary with annual salary reviews; 8% non-contributory pension; Option to buy / sell up to 5 days annual leave; Annual discretionary bonus scheme; AXA Private Healthcare Scheme; Death-in-Service benefit of 5 x annual salary; Training for the IOC and other relevant industry qualifications; Exam completion bonus GBP500 (IOC); Childcare Voucher Scheme; Eye test reimbursement; Christmas party - paid for social event; 13 weeks fully paid maternity leave; 2 weeks fully paid paternity leave; Perkbox membership - access to more than a hundred rewards, ranging from free food in major UK restaurants, to movie tickets, to phone insurance and more.
About the role:
The role will initially involve assisting the Compliance Officer in ensuring the business continues to meet its regulatory responsibilities. The intention is for there to be a career progression path to Compliance Officer and CF10 responsibility for the firm.
Responsibilities:
- Undertake tasks relating to the monitoring of client reviews
- Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks
- Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management
- Assist with the update and maintenance of Compliance procedures
- Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business
- Identify areas for improvement in the firm's existing processes and procedures and bring them to the attention of the Compliance Office
- Propose ways to make the department's processes and procedures more scalable or efficient
- Undertake additional projects as directed from time to time by the Compliance Officer
- Ensure client business and portfolios are monitored and managed in a fair and compliant manner
- Implement company policies covering the range of the firm's business model
- Conduct internal audit against the range of the firm's business model in line with the Compliance Monitoring Programme
- Oversee compliance with the firm's Training & Competence Scheme
- Oversee the completion and submission of the firm's regulatory returns
- Provide assurance to the Board that the business is operating in a compliant manner through regular and ad-hoc reporting
- Provide advice and assistance to the Board and staff to help them meet their regulatory responsibilities
About you:
- Educated to degree level as a minimum, it would be preferable if the candidate also had industry relevant qualifications but this is not compulsory as appropriate exam training can be offered
- Desirable qualifications are the IOC - Investment Operations Certificate, Diploma in Investment Compliance and the IMC
- Other industry relevant qualifications will be considered
- Previous experience in a similar role would be preferable
- Significant experience in a similar compliance role; relevant wealth management firm background but consideration will be given to candidates with less experience
You may have experience of the following: Compliance Manager, Compliance Officer, Senior Compliance Officer, Regulation, Legislation, MI Data, Auditor, Auditing, Governance, etc.
This vacancy is being advertised by EasyWeb Recruitment, the UK's leading Online Recruitment Agency. The services advertised by EasyWeb Recruitment are those of an employment agency. No terminology in this advert is intended to discriminate on the grounds of gender, race, disability
Marlborough Fund Managers Limited was formed in 1986. The wider Marlborough Group consists of a number of businesses which provide products and services in the Financial Services arena. The Group continues to see strong positive organic growth and will look to continue to expand through further acquisitions where this is viable. The Marlborough Group has in excess of GBP9 Billion under management in a mixture of unit trusts, open ended investment companies (OEICs) and discretionary management portfolios.
Position: Compliance Manager
Location: Lichfield, West Midlands
Job Type: Full Time, Permanent
Hours: 35 hours per week, Monday to Friday 9:00am - 5:00pm
Salary: GBP30,000 GBP35,000 DOE
Benefits: 25 days annual leave plus public holidays; Competitive salary with annual salary reviews; 8% non-contributory pension; Option to buy / sell up to 5 days annual leave; Annual discretionary bonus scheme; AXA Private Healthcare Scheme; Death-in-Service benefit of 5 x annual salary; Training for the IOC and other relevant industry qualifications; Exam completion bonus GBP500 (IOC); Childcare Voucher Scheme; Eye test reimbursement; Christmas party - paid for social event; 13 weeks fully paid maternity leave; 2 weeks fully paid paternity leave; Perkbox membership - access to more than a hundred rewards, ranging from free food in major UK restaurants, to movie tickets, to phone insurance and more.
About the role:
The role will initially involve assisting the Compliance Officer in ensuring the business continues to meet its regulatory responsibilities. The intention is for there to be a career progression path to Compliance Officer and CF10 responsibility for the firm.
Responsibilities:
- Undertake tasks relating to the monitoring of client reviews
- Maintain key compliance spreadsheets and registers and complete general compliance administrative tasks
- Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management
- Assist with the update and maintenance of Compliance procedures
- Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business
- Identify areas for improvement in the firm's existing processes and procedures and bring them to the attention of the Compliance Office
- Propose ways to make the department's processes and procedures more scalable or efficient
- Undertake additional projects as directed from time to time by the Compliance Officer
- Ensure client business and portfolios are monitored and managed in a fair and compliant manner
- Implement company policies covering the range of the firm's business model
- Conduct internal audit against the range of the firm's business model in line with the Compliance Monitoring Programme
- Oversee compliance with the firm's Training & Competence Scheme
- Oversee the completion and submission of the firm's regulatory returns
- Provide assurance to the Board that the business is operating in a compliant manner through regular and ad-hoc reporting
- Provide advice and assistance to the Board and staff to help them meet their regulatory responsibilities
About you:
- Educated to degree level as a minimum, it would be preferable if the candidate also had industry relevant qualifications but this is not compulsory as appropriate exam training can be offered
- Desirable qualifications are the IOC - Investment Operations Certificate, Diploma in Investment Compliance and the IMC
- Other industry relevant qualifications will be considered
- Previous experience in a similar role would be preferable
- Significant experience in a similar compliance role; relevant wealth management firm background but consideration will be given to candidates with less experience
You may have experience of the following: Compliance Manager, Compliance Officer, Senior Compliance Officer, Regulation, Legislation, MI Data, Auditor, Auditing, Governance, etc.
This vacancy is being advertised by EasyWeb Recruitment, the UK's leading Online Recruitment Agency. The services advertised by EasyWeb Recruitment are those of an employment agency. No terminology in this advert is intended to discriminate on the grounds of gender, race, disability