Compliance Manager

A friendly and professional Financial Services company based in St Albans are looking for a Compliance Manager.

They are looking for Financial Services experience, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector.

What’s in it for you:

·         Salary: up to £65k with some possible flexibility for the right candidate

·         Hours: Monday to Friday 9 – 5.30

·         20 days holiday which rises 1 day per year up to 25 days

·         Life Assurance

·         Sickness cover

·         Excellent training

·         Social events

·         Friendly and welcoming team

·         Career progression

Key Responsibilities:

·         Provide a Compliance and Risk service to the firm and employees of the companies to ensure all relevant activities adhere to all appropriate regulatory requirements. 

·         Contribute to the Compliance team in association with the Head and Compliance and Risk to ensure procedures and services delivered adhere to the regulations that apply to a regulated financial services business. 

·         Ensure all relevant regulatory requirements are met during operational practice including the FCA’s Consumer Duty, Conduct Rules and Principles.

·         Monitor and brief Operational Teams on developing or crystallised regulatory risks, themes and pronouncements as appropriate.

·         Engage with clients as appropriate to enhance the company’s service in the delivery of critical or important functions.

·         Participate in and contribute to the compliance culture of the broader management group of the businesses.

What the employer is looking for:

·         Minimum of 5 years’ experience in Financial Services, preferably in the Investment and Life Protection sectors, with least 3 years in the Compliance sector

·         Appropriate qualifications in financial services

·         Good interpersonal and communication skills and able to identify and build important strategic relationships internally and externally

·         Display sound and proportionate judgement

·         Display a commercial outlook

·         Awareness of the FCA handbook and data protection

Red Door Recruitment is committed to encouraging equality, diversity, and inclusion among our workforce, and eliminating unlawful discrimination. Full details available on our website.

Please note due to the number of applications we often receive; only shortlisted applicants will be contacted.