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Role: Compliance Manager
Location: Harp Lane (London) - 4 days from the office
Responsibilities: -
- Assist the Head of Compliance in preparing and filing reports to regulatory authorities, ensuring timely and accurate submissions.
- Collaborate in the development, implementation, and maintenance of compliance policies and procedures.
- Monitor regulatory changes and assess their impact on the organization, updating policies accordingly.
- Conduct compliance training sessions for staff to ensure understanding of relevant laws, regulations, and internal policies.
- Support compliance audits and assessments, providing necessary documentation and follow-up on action plans.
- Assist in identifying compliance risks and developing strategies to mitigate them.
- Maintain accurate records of compliance activities and report on compliance metrics.
- Liaise with regulatory bodies as needed and assist in responding to regulatory inquiries.
Requirements: -
- 3-5 years of experience in compliance or regulatory roles, preferably within Investment Management Services.
- Strong understanding of regulatory frameworks, compliance policies, and relevant industry laws.
- Experience in Developing and Implementing compliance policies and procedures.
- Exceptional communication and interpersonal skills for training and liaising with regulatory bodies.
- Detail-oriented with strong organizational and time management skills to ensure timely and accurate submissions.
