Senior Compliance Manager

  • Permanent
  • LONDON,

Bruin Financial

Ref: 27731

**NEW ROLE*** COMPLIANCE MANAGER – Fast Track to SMF16/17

 

I am currently in the search for a Compliance Manager to join a Investment Company. This will be

ideal for a candidate who has worked closely with the SMF16 and is keen to take the step up at a low risk business

 

The Role:

Sole Compliance Manager working alongside an external Consultancy covering:

  • Day to day responsibility for UK compliance
  • Responsibility for MIFID entity compliance function
  • Broad operational responsibilities

 

As a Compliance generalist your duties include, but not restricted too:

  • Ensure the CMP is executed
  • Financial promotions
  • Execute AML duties
  • Compliance support and advice for sales team
  • Horizon scanning and oversight of UCITS registrations and related regulation

 

Required Skills and Knowledge

  • Experience in FCA’s SMCR regime, Conduct Rules, IFPR
  • Good understanding of AML
  • Demonstrated ability to deliver operational projects
  • Good understanding of UCITS Funds, ESMA guidelines
  • Understanding of MIFID II compliance regulations
  • Experience of liaising with lawyers, accountants and regulatory bodies

Preferred Skills and Experience

  • Familiarity with SFDR
  • Knowledge and experience of UCITS regulations
  • Experience of UCITS fund operations
  • European languages

 

Benefits:

-Paying up to 85k

-Good bonus/benefits

 

Bruin recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination. As a champion of equal opportunity employment we welcome applications from all suitably qualified persons – men and women, people of all ages, sexual orientations, nationalities, religions and beliefs. We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry. Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

Nimesh.Dave

  • This field is for validation purposes and should be left unchanged.

Ref: 27912 Senior Compliance Monitoring Officer I am in search for a Senior Compliance Monitoring Officer to join a leading...

 

View Job

Ref: 27911   Compliance Advice Officer I am on the lookout for a Senior Compliance Advice Officer to help bolster...

 

View Job

Ref: 27913 Head of Compliance Monitoring We are currently recruiting for a superb and unique opportunity for a reputable insurance...

 

View Job