Deputy Compliance Manager

A Deputy Compliance Manager is needed to bolster our well-established risk and compliance department in the financial services sector. The position calls for a detail-oriented professional with a solid grounding in compliance regulations and risk management. This role will be based in the City of London.

Client Details

Our client is a well-respected entity in the financial services industry, operating as a mid-sized organisation. They have a strong presence in London and are renowned for their commitment to maintaining the highest standards of regulatory compliance.

This is a hybrid role, with 2 days a week in the office, based in the City of London

Description

Deputy Compliance Manager, City of London

• Develop, implement, and maintain sound compliance programmes.
• Identify potential areas of compliance vulnerability and risk.
• Provide reports on a regular basis to keep senior management informed of the operation and progress of compliance efforts.
• Work with the Human Resources department to develop an effective compliance training programme.
• Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities.
• Respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by initiating investigative procedures.
• Ensure proper reporting of violations or potential violations to duly authorised enforcement agencies as appropriate and/or required.
• Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.

Profile

A successful Deputy Compliance Manager should have:

• A strong understanding of financial services industry regulations and standards.
• Proven experience in a similar role within the financial services sector.
• Excellent communication and interpersonal skills.
• Strong problem-solving abilities and attention to detail.
• A degree in law, finance, business administration, or a related field.

Job Offer

• A competitive salary ranging from £80,000 to £90,000
• Opportunities for personal and professional growth within the financial services sector.