Compliance Manager
Posted a day ago
- Manchester, Greater Manchester
- Any
- External
- Expires In 3 months
Job Description
Our client, a reputable Investment and Wealth Management firm are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
✅ Key Responsibilities Overview:
Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
Advisory Support: Respond to compliance-related queries in investment management and financial advice.
Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
A detail-oriented and analytical compliance professional with the ability to work autonomously.
Experience managing compliance monitoring frameworks ...
Our client, a reputable Investment and Wealth Management firm are recruiting for a Risk & Compliance Manager on an 18-month FTC. The role supports the Head of Risk & Compliance, focusing on regulatory oversight, risk management, and compliance assurance activities. This varied role is an excellent opportunity to gain broad compliance exposure across the Investment management arena.
✅ Key Responsibilities Overview:
Compliance Monitoring: Conduct client file checks, monitor communications, and provide input into the Compliance Monitoring Programme.
Regulatory Oversight: Prepare Management Information (MI), assist with FCA reporting, and conduct due diligence.
Advisory Support: Respond to compliance-related queries in investment management and financial advice.
Governance & Risk: Maintain risk registers, liaise with risk champions, and oversee registers including PAD, conflicts, and complaints.
Technical Compliance: Perform trade and transaction monitoring and assist with T&C scheme oversight.
Policy & Audit: Maintain policies and support internal/external audits.
Ideal Candidate Profile:
A detail-oriented and analytical compliance professional with the ability to work autonomously.
Experience managing compliance monitoring frameworks ...