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- Tasks: Ensure compliance with laws and regulations while supporting the business in risk management.
- Company: Join a dynamic financial services firm focused on compliance excellence.
- Benefits: Competitive salary, professional development, and a collaborative work environment.
- Other info: Opportunity for career growth in a rapidly evolving company.
- Why this job: Make a real impact by shaping compliance strategies in a fast-paced industry.
- Qualifications: Experience in compliance within financial services and strong analytical skills.
The predicted salary is between 55000 - 65000 £ per year.
About the Role: As Compliance Manager, you will be responsible for supporting the Head of Compliance in implementing all the necessary actions to ensure the achievement of the objectives of an effective compliance function. You will be responsible for ensuring that Onmo complies with all relevant laws, regulations, and internal policies and you will provide guidance and support to the business to ensure compliance with applicable rules and regulations, as well as identify and mitigate compliance risks. The Compliance Manager will also be responsible for developing and implementing compliance training programs and monitoring the effectiveness of these programs. The role holder will support the Head of Compliance maintain a sound and robust compliance framework appropriate to the business. You will be competent in undertaking internal compliance monitoring and assessment and providing assurance across the firm. The position reports to the Head of Compliance.
Responsibilities:
- Support the Head of Compliance in the following areas:
- Develop and maintain a comprehensive understanding of all relevant laws, regulations, and internal policies that apply to the Onmo.
- Maintain Regulatory development log and provide business impact assessments and regulatory updates in a timely manner.
- Provide guidance and support to business units on compliance matters, including reviewing and approving new products, services, marketing materials and remuneration.
- Conduct compliance themed monitoring and advisory reviews and develop strategies to mitigate identified risks.
- Develop and implement compliance training programs to educate employees on relevant laws, regulations, and internal policies.
- Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements.
- Collaborate with internal stakeholders to ensure a coordinated approach to compliance.
- Investigate and respond to compliance-related complaints and inquiries from regulators, clients, and employees.
- Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required.
- Support the ongoing regulatory and change programs by acting as the FCA compliance expert.
- Prepare and submit regulatory reports and filings as required.
- Keep management informed of significant compliance issues and developments.
- Assist in the analysis and production of Compliance reporting.
- Assist in the identification and assessment of emerging risk including those arising from changes to regulatory obligations.
- Participate in industry forums and staying informed about emerging compliance trends and best practices.
- Create and comment on compliance MI that feeds into 2nd Line reporting.
Skills & Competencies
Essential:
- Robust experience in financial services in a 2nd line compliance role
- Working knowledge of and experiencing in using the FCA Handbook
- Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks
- Strong communication and interpersonal skills, with the ability to effectively communicate complex compliance issues to non-compliance professionals
- Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
- Strong attention to detail and organizational skills
- Ability to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer
- Ability to create and deliver specific compliance training on a face-to-face basis for employees to enable compliance to be embedded in the business
- Ability to maintain the FCA Reg Data and FCA Connect requirements for the firms reporting, notifications and SMCR requirements
- Ability to analyse the FCA returns from across the business to ensure they are comparative with previous returns
- Self-motivator
- Strong IT skills (Particularly Excel and other MS office applications)
Desirable:
- Experience in a credit card or lending firm
- Experience of operating within a company that has experienced rapid growth and change
Qualifications
Essential:
- Technical and other qualifications sufficient to allow discharge of responsibilities.
Desirable:
- CISI Diploma in Investment Compliance or equivalent.
Compliance Manager in London employer: Onmo
Contact Detail:
Onmo 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 hunt for a Compliance Manager role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of the FCA Handbook and current compliance trends. We recommend creating a cheat sheet of key points to discuss, so you can confidently showcase your expertise when it comes to compliance risks and regulations.
✨Tip Number 3
Don’t forget to tailor your approach! When applying through our website, make sure to highlight your relevant experience in financial services and any specific compliance training you've developed. This will help you stand out as the perfect fit for the role.
✨Tip Number 4
Follow up after interviews! A quick thank-you email reiterating your interest in the position and mentioning something specific from the conversation can leave a lasting impression. It shows you're proactive and genuinely interested in the role.
We think you need these skills to ace Compliance Manager in London
Some tips for your application 🫡
Know the Role Inside Out: Before you start writing, make sure you fully understand what the Compliance Manager role entails. Dive into the job description and highlight key responsibilities and skills. This will help us see how your experience aligns with what we're looking for.
Tailor Your Application: Don’t just send a generic CV and cover letter! Customise your application to reflect the specific requirements of the Compliance Manager position. Use keywords from the job description to show us you’re a perfect fit for the role.
Showcase Relevant Experience: When detailing your work history, focus on experiences that relate directly to compliance, risk management, and regulatory frameworks. We want to see how your past roles have prepared you for this position, so be specific!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates regarding your application status.
How to prepare for a job interview at Onmo
✨Know Your Compliance Stuff
Make sure you brush up on the relevant laws, regulations, and internal policies that apply to the role. Familiarise yourself with the FCA Handbook and be ready to discuss how your experience aligns with compliance requirements in financial services.
✨Showcase Your Analytical Skills
Prepare examples of how you've identified and mitigated compliance risks in previous roles. Be ready to explain your problem-solving process and how you approach compliance monitoring and assessment.
✨Communication is Key
Since you'll need to communicate complex compliance issues to non-compliance professionals, practice explaining these concepts in simple terms. Think of scenarios where you've successfully communicated compliance matters to different stakeholders.
✨Training and Development Focus
Be prepared to discuss any experience you have in developing and delivering compliance training programs. Highlight your ability to engage employees and ensure compliance is embedded within the business culture.