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- Tasks: Manage compliance responsibilities and support the Head of Compliance in a dynamic environment.
- Company: Join Nucleus Group Services, where people come first and collaboration leads to success.
- Benefits: Enjoy a non-contributory pension, bonus, flexible working, and health initiatives.
- Why this job: Make a real impact in a culture that values inclusion and diversity.
- Qualifications: Seven years of compliance experience and strong communication skills required.
- Other info: Be part of a team that celebrates hard work and fosters career growth.
The predicted salary is between 36000 - 60000 £ per year.
Third Platform Services Limited ("TPS" or the "Firm") provides a Model B Clearing service to financial intermediaries which entails trade execution, settlement and safe custody. The Firm’s customers are all FCA regulated firms that typically provide wealth management and advisory services to underlying retail clients.
Reporting to the Head of Compliance, the role of the Compliance Manager will be to manage the various responsibilities detailed below, provide day-to-day support to the Head of Compliance and to deputise for them, as requested, in their absence.
Responsibilities
- Deputising for the Compliance Officer in their absence including attendance of internal committee and management meetings and supervision of junior members of the Compliance team;
- Support the firm delivery its strategic aims and objectives in a compliant manner, including providing compliance support to in-flight change projects;
- Dealing with ad-hoc issues delegated by the Head of Compliance;
- Support in the delivery of a compliant SMCR framework, including:
- ensuring all staff performing senior manager or certification functions are duly identified and promptly registered with, or notified to, the FCA;
- maintenance and where required, updating, of SMF statements of responsibilities;
- timely issuance of annual re-certifications for all certification staff;
- maintenance and updating of the Firm’s SMCR policy and procedures.
Required Experience and Attributes
- At least seven years generalist Compliance experience which ideally has included provision of business advisory support, monitoring and testing, drafting and updating of policies and procedures, representing Compliance in internal committees and working groups, customer complaints handling and general liaison with customers and external third parties;
- Good understanding of current UK legal and regulatory requirements pertaining to Client Assets, Code of Conduct, Conduct of Business, Customer Complaints Handling, and the Senior Managers and Certification Regime;
- Knowledge and/or experience in any of the following areas would be advantageous; CRS and FATCA, Data Protection & Privacy, Market Abuse and Transaction Reporting;
- Ability to communicate clearly both verbally and in writing;
- Ability to manage and prioritise own workload and meet deadlines;
- Proactively look for ways to enhance current Compliance documentation and practices.
We are the Nucleus Group Services Limited and we help make retirement more rewarding. Here at Nucleus, people come first - whether it’s our colleagues, or the advisers and customers we support, we know that working in partnership and collaboration leads to the best outcomes. Together, we’ve shaped the platform to how it is today. We work hard, and we celebrate hard too.
Our ambition is to create a platform with a difference, putting the customer centre stage meant tearing up the rule book and starting from scratch. We’ve come a long way since then, but our mission remains just as focused. That’s why our culture, values, and social responsibility are things we keep at the top of our agenda – because we know they matter and have a big impact.
Our culture is one of the many things that sets us apart from the pack. We want to have an environment where our people feel that they can make a real difference, know they’ll be rewarded for their efforts and more importantly, enjoy themselves at work.
Inclusion and diversity at Nucleus
As with most things in life, who cares, wins. We really care about inclusion. For us it’s not a tick box exercise; inclusion and diversity are embedded in our culture and everything we do. It’s a commercial imperative. It isn’t about being PC. It’s about being future-relevant and durable. We owe it to ourselves and the industry to ensure we are playing our part in creating a fair, balanced and transparent financial services sector.
More diversity means broader experience, a wider set of perspectives and a better collective ability to problem-solve. And it means being more representative of customer groups, which supports areas such as product development.
At Nucleus, we offer a generous blend of benefits for the things that really matter to our people, including a non-contributory pension, bonus, enhanced parental leave, paid time off for emergencies, health and wellbeing initiatives and flexible working options.
If you’d like to find out more about us or the role, please get in touch with our recruitment team.
Compliance Manager in London employer: Nucleus Financial
Contact Detail:
Nucleus Financial Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager in 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 the inside scoop on a role that’s perfect for you.
✨Tip Number 2
Prepare for interviews by researching the company culture and values. At Nucleus, we value collaboration and making a difference, so be ready to share how you align with our mission and can contribute to our goals.
✨Tip Number 3
Practice your responses to common compliance interview questions. Think about your experience with regulatory frameworks and how you've handled customer complaints. We want to see your problem-solving skills in action!
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team at Nucleus.
We think you need these skills to ace Compliance Manager in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Manager role. Highlight your relevant experience, especially in compliance and regulatory matters, and don’t forget to showcase your ability to communicate clearly – both verbally and in writing!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our team at Nucleus. Mention specific experiences that align with the responsibilities listed in the job description, and show us your passion for compliance.
Showcase Your Problem-Solving Skills: We love candidates who can think on their feet! In your application, give examples of how you've tackled compliance challenges in the past. This will demonstrate your proactive approach and ability to enhance current practices.
Apply Through Our Website: Don’t forget to apply 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 awesome team at Nucleus!
How to prepare for a job interview at Nucleus Financial
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of UK legal and regulatory requirements, especially around Client Assets and the Senior Managers and Certification Regime. Being able to discuss these topics confidently will show that you're not just familiar with compliance but that you can also apply it in real-world scenarios.
✨Showcase Your Experience
With at least seven years of generalist compliance experience required, be ready to share specific examples from your past roles. Highlight instances where you've provided business advisory support or handled customer complaints, as this will demonstrate your hands-on expertise and problem-solving skills.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance situations or challenges. Think about potential scenarios related to regulatory returns or customer complaints and prepare your responses. This will help you illustrate your critical thinking and decision-making abilities.
✨Emphasise Team Collaboration
Since the role involves working closely with the Head of Compliance and other team members, be sure to highlight your teamwork skills. Share examples of how you've successfully collaborated in the past, whether in internal committees or during compliance projects, to show that you can contribute positively to the firm's culture.
