Rules & Compliance Manager

£65000 - £71000 per annum + Bonus + benefits


Key Responsibilities
The key responsibilities of the role include, but are not limited to:

  • Provision of Compliance input to the Senior Managers and Certification Regime (SMCR)
  • provision of compliance support on all regulatory matters including: new business initiatives; regulatory analysis of relevant legislation, rules and guidance; and liaison with, including the making of any relevant notifications to the FCA.
  • oversight of compliance with the FCA’s rules on systems and controls against money laundering and the provision of an annual MLRO report to the Governing Body.
  • establishment of a suitable monitoring programme, oversight of its delivery.
  • monitoring completion and timely submission of routine reports to the FCA.

Key Behaviours

  • Communication
  • Motivation & Flexibility
  • Stakeholder Management
  • Analysis
  • Teamwork

Key Skills

    • Strong Regulatory knowledge (FCA, SMCR)
    • Experience of working within the financial services industry – trading venue experience would be preferable but is not essential.

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

 

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