Compliance Manager, Business

Job Description

This role offers genuine responsibility and visibility from day one, giving you the opportunity to own and deliver key compliance monitoring activities within a small, collaborative team.

You will gain exposure across a broad range of compliance disciplines, support an award-winning investment management division, and work closely with the Head of Compliance, contributing directly to Board reporting and regulatory outcomes.

It is an excellent opportunity to develop your expertise in a role where your work has clear impact and where learning and progression are actively supported.

Key responsibilities will include:

• Owning, developing and executing the compliance monitoring plan (including report production) to include thematic and desk-based reviews
• Administering and overseeing the provision of compliance training and policy rollouts via a 3rd party on-line provider
• Undertaking marketing material reviews to ensure they meet regulatory requirements
• M.I production for the Board to inform governance and decisions
• Assistance with regulatory reporting to ensure accurate and timely submissions
• Onboarding and induction of new starters
• Compliance procedure updates relevant to your areas of responsibility
• Regulatory horizon scanning
• Any other tasks as determined by the Head of Compliance

• Circa 4+ years of experience within the Compliance department of an asset management firm
• Compliance monitoring experience is highly advantageous
• Experience of reviewing marketing material would be advantageous
• Industry qualifications (or working towards them) would be advantageous
• Attention to detail and accuracy of work
• Highly organised and able to manage multiple tasks simultaneously
• Reliable and keen to learn
• Strong written and verbal communication skills