Role: Compliance Manager
Location: Harp Lane (London) / 4 days from the office
Responsibilities: -
* Assist the Head of Compliance in preparing and filing reports to regulatory authorities, ensuring timely and accurate submissions.
* Collaborate in the development, implementation, and maintenance of compliance policies and procedures.
* Monitor regulatory changes and assess their impact on the organization, updating policies accordingly.
* Conduct compliance training sessions for staff to ensure understanding of relevant laws, regulations, and internal policies.
* Support compliance audits and assessments, providing necessary documentation and follow-up on action plans.
* Assist in identifying compliance risks and developing strategies to mitigate them.
* Maintain accurate records of compliance activities and report on compliance metrics.
* Liaise with regulatory bodies as needed and assist in responding to regulatory inquiries.
Requirements: -
* 3-5 years of experience in compliance or regulatory roles, preferably within Investment Management Services.
* Strong understanding of regulatory frameworks, compliance policies, and relevant industry laws.
* Experience in Developing and Implementing compliance policies and procedures.
* Exceptional communication and interpersonal skills for training and liaising with regulatory bodies.
* Detail-oriented with strong organizational and time management skills to ensure timely and accurate submissions.