Compliance Manager , Advisory , Investment Management

Job Description

SALARY 40-55K

The Company:
Our client is a wealth management company, highly recognised with a fantastic reputation.

The Role:
The Compliance Manager will Report into the Head of Compliance within the Wealth Management business. The Compliance Manager role will have an Investment Advisory focus.

Working in the BRISTOL office The Compliance Manager will monitor the regulatory environment for key regulatory initiatives relating to investment management, recommending, and implementing solutions.

The Compliance Manager will provide a Compliance Advisory service & will support the Investment Management company on asset management issues including routine advice and resolution of issues relating to restrictions on investments and fund regulations.

The Compliance Manager will assist the preparation of regulatory MI, drafting reports and notifications.

The Compliance Manager will review and approve financial promotions material, ensuring all documentation meets current regulatory requirements and is consistent across the product base.

The Compliance Manager will assist the ongoing review and updating of compliance policies and procedures to ensure fit for purpose and regulatory needs.

The Compliance Manager will be responsible for monitoring of portfolio management compliance systems and will support on investment platform issues.

The Compliance Manager will ensure all Investment breaches of FCA Rules are properly investigated, recorded and resolved.

The Compliance Manager will conduct market Abuse surveillance and monitoring of trading activities (including best execution), communications, and personal account dealing.

The Candidate:
3-5 years Strong knowledge of Compliance within an Investment Management setting - Essential!

Compliance advisory experience - essential

FCA principles and focus on the application of Consumer Duty to investment products and services.

Strong knowledge of the UK regulatory framework as it pertains to discretionary and non-discretionary investments, i.e. MiFID, COBS and MAR.

An understanding of FCA systems & controls as applicable to a retail platform.

Basic knowledge of GDPR is helpful.

Knowledge of dealing, custody, and client assets.

Being proactive and high level of attention to detail