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- Tasks: Support compliance standards and manage risk in a dynamic investment management environment.
- Company: Reputable financial services organisation with a strong compliance culture.
- Benefits: Gain exposure to regulatory requirements and enhance your professional skills.
- Why this job: Make a real impact on governance while developing your career in compliance.
- Qualifications: Five years of compliance experience and strong knowledge of UK regulatory frameworks.
- Other info: Opportunity for career growth and to work with a collaborative team.
The predicted salary is between 36000 - 60000 £ per year.
We are supporting a well-established client in the investment management space in onboarding a Compliance Manager. This pivotal role reports into the Head of Compliance and provides essential support in maintaining regulatory standards, managing risk, and promoting strong governance across the business. The successful candidate will also act as deputy to the Head of Compliance when required.
Key Responsibilities
- Step in for the Head of Compliance as needed, attending key meetings, committees, and guiding junior Compliance team members.
- Ensure business initiatives and projects are executed in line with regulatory and internal compliance standards.
- Handle ad-hoc compliance matters and tasks as assigned.
- Support the management of the Senior Managers & Certification Regime (SMCR), including:
- Identifying staff in senior or certification roles and ensuring regulatory registration or notification.
- Maintaining and updating statements of responsibilities for senior roles.
- Coordinating annual certification renewals for relevant personnel.
- Reviewing and updating internal SMCR policies and procedures.
Experience & Skills Required
- At least five years of generalist Compliance experience, ideally covering advisory support, monitoring/testing, policy drafting/updating, committee representation, complaint handling, and liaison with clients and third parties.
- Strong knowledge of UK regulatory frameworks, including Client Assets, Code of Conduct, Conduct of Business, Customer Complaints Handling, and the SMCR.
- Familiarity with CRS/FATCA, Data Protection & Privacy, Market Abuse, and Transaction Reporting is advantageous.
- Excellent verbal and written communication skills.
- Strong organisational skills, with the ability to prioritise competing tasks and meet deadlines.
- Proactive, with a focus on continuously improving compliance processes, procedures, and documentation.
Why This Role?
This is an excellent opportunity to join a reputable financial services organisation and contribute to a strong compliance culture. You will gain broad exposure to regulatory requirements, including SMCR, and play a key role in supporting the business in achieving its objectives with integrity and professionalism.
Compliance Manager in City of London employer: Lutine Bell
Contact Detail:
Lutine Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in City of London
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance field and let them know you're on the lookout for opportunities. You never know who might have a lead or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of UK regulatory frameworks. Be ready to discuss how your experience aligns with the key responsibilities of a Compliance Manager, especially around SMCR and complaint handling.
✨Tip Number 3
Showcase your proactive approach! During interviews, share examples of how you've improved compliance processes in the past. This will demonstrate your commitment to maintaining high standards and your ability to contribute positively to the team.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets the attention it deserves. Plus, we love seeing candidates who take that extra step to connect with us directly.
We think you need these skills to ace Compliance Manager in City of London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your relevant experience in compliance, especially any work with regulatory frameworks and policies. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Don’t forget to mention specific experiences that relate to the job description.
Showcase Your Communication Skills: Since this role requires excellent verbal and written communication skills, make sure your application reflects that. Keep your language clear and professional, and double-check for any typos or errors. We love attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Lutine Bell
✨Know Your Regulations
Make sure you brush up on the UK regulatory frameworks relevant to the role, like SMCR and Client Assets. Being able to discuss these confidently will show that you're not just familiar with compliance but that you can apply this knowledge practically.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios or challenges. Think of examples from your past experience where you've successfully navigated similar situations, and be ready to explain your thought process.
✨Showcase Your Communication Skills
As a Compliance Manager, you'll need to communicate complex regulations clearly. Prepare to demonstrate your verbal and written communication skills during the interview by discussing how you've effectively communicated compliance matters in previous roles.
✨Highlight Your Proactive Approach
This role requires a proactive mindset towards improving compliance processes. Be ready to share examples of how you've identified areas for improvement in compliance practices and what steps you took to implement changes.