Information:
Job Vacancy Details
Compliance Manager
Investment Bank
London
Permanent
Updated October 1, 2008
Opportunity for a Compliance professional to become part of the business team developing a new business unit within a large International Firm. A key part of this role will be to coordinate the set up and ongoing management of the risk and compliance function for a new Wrap and Wealth management business based in London.
As Compliance Manager your principle accountabilities will include:
• Manage regulatory requests for the new business
• Be responsible for the implementation and ongoing monitoring of the risk management framework within the new business
• Help the business maintain appropriate systems and controls to satisfy regulatory requirements and license obligations
• Provide regulatory guidance to the business
• Monitor FSA obligations for training and ensure the business meets its obligations;
• Investigate and monitor the resolution of any client complaints
Who we're looking for
The successful candidate will have:
•Past roles in either a Compliance or Legal team within a directly regulated financial services firm with responsibility for compliance oversight and handling regulated complaints in accordance with FSA rules and guidance.
• A good understanding and working knowledge of the FSA handbook of rules and guidance and have the full Financial Planning Certificate or equivalent.
• Pro-active approach to solving and preventing problems.
• Strong analytical ability, judgment and administrative skills.
•Exposure to working under pressure while remaining focused on completion of long term project or objectives.
• Ability to work as part of the team to implement a new business
About our client
Our client provides specialist investment advisory and financial services in select markets around the world and has reported consistent growth for over a decade.
What's on offer
Excellent salary plus benefits and bonus
Michael Page Contact
For further info, apply or phone on 020 7645 1466.
Job Ref: 13005172
Your application will be sent to Chantel Rademeyer.
Job Search
Featured Clients
College Accountant
Eton.
Permanent
Financial Controller
Central London.
Permanent
Chartered Accountant Partner
France, Paris.
Permanent
Head of Internal Audit
Central London, Westminster.
Permanent
