Senior Compliance Manager in London

Reporting to the Head of Compliance Assurance, the role will be responsible for the oversight and delivery of all compliance activities at a Financial Advice firm.

Responsibilities

• Be the primary point of Compliance contact for a national Financial Advice firm.
• Support on the design, implementation, delivery, and maintenance of the Compliance Assurance Programme (CAP), utilising the Group Internal Control Assurance Framework.
• Proactively review and provide assurance of the regulatory compliance framework, including Manuals, Policies and Procedures.
• Prepare reports for Governance Committees, demonstrating the effectiveness of the regulatory compliance framework.
• Ensure that the Leadership Team / Executive Committee are kept fully informed of the CAP, its findings and proposed actions.
• Provide guidance and advice on regulatory matters.
• Collaborate with internal and external stakeholders to monitor enforcement of standards and regulations.
• Oversee the review and development of existing services.
• Work across the company business lines engaging with a pragmatic collaboration to find compliant solutions to business problems, whilst influencing a compliant business culture.
• Develop and maintain effective relationships with various stakeholders across the business.
• Proactively identify regulatory developments within or outside of the company as well as evolving best practices in compliance control.
• Support in maintaining the Policy Matrix and ensure all associated Compliance policies within the role remit remain up to date.
• Support in the co‐ordination and attendance of the Executive Risk Management Committee (ERMC) and other such Committees as delegated by the CRO.
• Support in the oversight and management of Conduct Risk across the firm.
• Deliver clear and comprehensive compliance assurance reports, providing context, key risks/issues and proposed mitigating actions.
• Work collaboratively across the Chief Risk Office functions to support an agile and dynamic approach to compliance and risk management.
• Provide challenge and a voice in relation to ethics, integrity, and values.

Knowledge

• Excellent understanding of FCA rules impacting Financial Advisers, particularly regarding the suitability of advice and recommendations.
• Experience in asset management (ideally with exposure to retail market) preferable.
• Understanding of the Principal / Appointed Representative relationship.
• Excellent knowledge of legislation such as FSMA and MiFID II.
• A broad business understanding.

Qualifications

• Professional qualifications in Compliance desirable.
• Previous holder of SMF16 and SMF17 desirable.

Skills and Other Relevant Information

• Ability to assimilate and understand new regulatory information and disseminate this to the business, using non‐technical language.
• Ability to communicate at all levels of the business including at Executive Committee level.
• Good written and oral communication skills, with demonstrable experience in report writing.
• An analytical mind able to "see" the complexities of procedures and regulations but then simplify issues for others.
• Methodical and diligent with outstanding planning abilities.
• Highly pragmatic in approach, and thrive within a fast‐paced and constantly changing scale‐up environment.
• IT literate – including good Word, Excel & PowerPoint skills.
• Ability to operate in an agile and dynamic approach to Risk & Compliance, with attention to detail.
• Must be a professional of high ethical standards with a constant eye on the objectives of the business.
• Team player able to build strong working relationships.
• Appetite to develop knowledge of 7IM's business in general.

Seniority Level: Mid‐Senior level

Employment Type: Full‐time

Job Function: Legal