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Compliance Manager

£55000 - £65000 per annum + Additional Benefits


Rules & Compliance Manager – Job Specification


This is a new position within the Rules & Compliance team (R&C) reporting directly to its head.


Key Responsibilities:

  • Preparation and maintenance of Compliance Assurance Plans (CAP), Compliance Monitoring Plans (CMP) and Compliance Risk Assessments (CRA)
  • Stay up to date and informed of changing legislations and regulations that affect business operations.
  • Work independently as well as within the wider Compliance teams.
  • Implement and Maintain the Compliance Monitoring Plan (CMP)
  • Support a wide variety of areas within the business

Key Skills

  • Degree level education or equivalent.
  • Experience of working within the financial services industry – trading venue experience would be preferable but is not essential.
  • Demonstrable understanding of, and practical experience in, delivering a Compliance Framework.
  • Proficient in use of MS Office, specifically Outlook, Word, Excel and PowerPoint.

This is a really unique opportunity to directly shape the groups future whilst having the reputable and respected name behind you.

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

 

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This job has now been filled but you may be interested in:

 

Compliance Manager

SAVE
£40000 - £65000 per annum


Compliance Generalist for Investment firm:

THE RESPONSIBILITIES:

• Support the Head of Compliance as and when required on specific activities and projects;

• Produce compliance reports and metris

• Manage all assurnace and monitoring activities

• To build relationships and work with each department on the compliance framework, policies and procedures

• Identifying, assessing and managing compliance risk within the business

• Ensure all compliance principles, policies and procedures are clearly defined and adhered to

• Through regular and appropriate business involvement ensure all compliance work is carried out to the required level of competence

• Build and maintain effective working relationships with the internal stakeholders

• Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business;

EXPERIENCE REQUIRED:

• Solid compliance experience within the financial services industry and compliance.

• Proven experience of working in a multi-disciplined team across business units.

• Strong understanding of all regulations that impact the business

• Strong report writing skills. • A good attention to detail, adaptability, a keenness to learn and accurate keyboard skills.

• Ability to build relationships effectively, both in the immediate team and wider business.

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