Group Compliance manager - Operations

Cardiff Permanent £40,000 - £45,000
  • Fantastic opportunity to join a leading Financial Services organisation
  • Fantastic benefits

About Our Client

My client is a large Financial Services organisation based in Cardiff.

Job Description

This is an exciting, newly created role reporting directly in to the Financial Director.

The role will include but not limited to:

  • Determine systems and process related priorities across the Investment business
  • Develop and implement appropriate systems and processes across the organisation to support the commercial businesses to be compatible with our legal compliance requirements and to meet good industry practice.
  • Review and evaluate current documentation, processes, systems and practices against agreed frameworks and develop gap analysis plan
  • Manage the effective implementation of the identified improvements to current systems and processes, working alongside relevant teams e.g. Finance, Technology, Customer Services, Legal and Compliance etc
  • Review and assess the financial services regulatory requirements across customer operational procedures
  • Design and monitor control systems to ensure compliance with both internal company policy and external regulation
  • Manage and provide training, advice and support to the financial services operations team and wider operational teams in financial services compliance, processes and procedures
  • Conduct systems and process risk assessments, regularly assessing the efficiency of the controls in place
  • Monitor performance of of systems and processes and facilitate interventions to manage risks
  • Perform systems and process audits and compile reports to identify non conformances and actions to improve
  • Document financial services compliance-related processes and maintain records
  • Keep up to date with financial services regulatory changes and developments

The Successful Applicant

Knowledge & Experience

  • Educated to degree level
  • An accredited qualification in financial services regulatory and compliance assurance will be advantageous.
  • Experience as a financial services regulatory compliance specialist, of FCA regulation and requirements or similar in the financial services, wealth management and/or investment management sector
  • Experience of auditing and driving improvements
  • Deep and sound knowledge of regulatory policies as well as proven track record in implementing systems and processes in accordance with policies
  • Experience of training and providing advice and support to operational teams around systems, processes and procedures
  • Excellent interpersonal and communication skills with experience in communicating across all levels of an organisation
  • Proven experience of driving improvements through systems, processes and technology
  • Experience of influencing and leading cross functional teams to develop and implement solutions.

Key Behaviours:

  • Strong team player, who is comfortable in working as part of a virtual team
  • Strong analytical skills, paying careful and particular attention to detail, and also have an investigative mindset
  • Diligence and perseverance, must be willing to see an issue through to resolution
  • Methodical and planned with strong attention to detail
  • Passion for customers and user experience
  • Always looking for the next improvement opportunity
  • Confident and articulate in expressing your ideas to a mixed audience with varying views and challenges

What's on Offer

Salary c £40,000 - £45,000

Hybrid working

Excellent benefits

Joseff Reed
Quote job ref
Phone number
+44 292 064 2036

Job summary

Contract type
Consultant name
Joseff Reed
Consultant phone
+44 292 064 2036
Job reference