Compliance Manager - Advisory

£50000 - £60000 per annum



Compliance Manager (Advisory) based in Leeds or Manchester with 40% home working (post Covid).

Role description
The Compliance Manager supports the Head of Legal & Compliance (incl. MLRO and DPO) and Senior Compliance Manager (Advisory) in the provision of a reliable and responsive advisory service on regulatory matters, internal policy and compliance process requirements to ensure compliance with new or existing regulations and best practices.
The successful candidate will be a compliance all-rounder providing a broad range of advisory services including:

Technical Advice
Providing technical advice on a wide range of regulatory matters including:

(expereince in all areas is not needed)

  • Business Conduct (incl. CASS, Product Governance, Financial Promotions, Personal Account Dealing, Complaint Handling, Appropriateness, Customer Vulnerability, Best Execution, SMCR, Outsourcing)
  • Financial Crime (incl. AML, ATF, ABAC, Sanctions, Market Abuse and Fraud)
  • Data Protection (incl. PECR)
  • Transaction Reporting
  • Pensions Regulation (incl. FCA, HMRC, TPR, FRC, QROPs etc.)
  • Individual Savings Account (ISA) Regulations (e.g. HMRC's "ISA Managers' Guidance")
  • London Stock Exchange, Takeover Panel and Listing Rules

The delivery of technical advice will range from responding to relatively straightforward ad-hoc issues (e.g. enquires from operational staff on individual CDD matters) to more complex in-depth support on major business initiatives (e.g. supporting business acquisitions).

Regulatory Change Management
The Compliance Manager is responsible for the Compliance Regulatory Change Management Process, ensuring that relevant 'upstream' legal and regulatory changes are proactively identified, analysed and communicated to the business and for overseeing the implementation of the business changes required to ensure ii's ongoing compliance with its regulatory obligations.

Financial Crime
The Compliance Manager is responsible for handling matters escalated for the identification of suspicious activity, or identified through the Enhanced Due Diligence process, and ensures appropriate steps are taken to address those activities and mitigate the risk to ii - including taking decisions regarding the submission of reports to relevant authorities (e.g. STORs and/or SARs) and regarding the maintenance of higher risk customers (including PEPs).

The Compliance Manager is responsible for overseeing the Compliance Regulatory Breach Management Process and ensuring that Compliance Analysts have appropriately categorised and risk rated regulatory breaches.

Internal Policies
The Compliance Manager provides support to the Senior Compliance Manager with the development and maintenance of internal policies and standards.

Data Protection
In addition to advising on technical matters, the Compliance Manager is responsible for reviewing and approving Vendor Engagement Forms and Data Protection Impact Assessments.

Other Accountabilities
The Compliance Manager will be required to handle a variety of 'ad-hoc' requests and varied miscellaneous tasks, including Training, Committee work, Presentations, and requests for information.


Regulatory Knowledge and Experience
As noted above, the successful candidate will be required to provide advice about a broad range of regulation and must therefore have a demonstrable track record of providing advisory services across a wide range of legal and regulatory matters relevant to a retail investment business, including Data Protection, Financial Crime and Pensions Regulation.

Sector Experence
Investment, banking or Financial Sercives broad back ground. Must understand Investments.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.


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