Compliance and Supervision Manager

  • Location:

    City of London, London

  • Sector:

    Financial Services

  • Job type:

    Permanent

  • Salary:

    Negotiable

  • Contact:

    Stephanie Ward

  • Contact email:

    stephanie.ward@search.co.uk

  • Job ref:

    Req/550572

  • Published:

    5 months ago

  • Expiry date:

    2020-03-07

We are currently working with a leading Fin-Tech compliance consultancy based in London who have an opportunity for a Compliance and Supervision Manager. The role will be responsible for advising, managing and supervising Appointed Representative firms.

Responsibilities:
* Advising on the firm's regulatory obligations - Peer 2 Peer Lending, Crowd Funding, Consumer Credit and Corporate Finance
* Assessing regulatory business plans
* Undertake supervisory visits of appointed representative firms
* Produce audit reports
* Implement FCA rules and regulation which relate to appointed representative firms
* Draft reports, polices and procedures
* Deliver compliance training
* Maintain knowledge and understanding of regulatory policies

Experience:
* Good investment experience
* Understanding and knowledge of AML, audit and business models
* An interest in Fin-Tech
* Excellent understanding of FCA handbook specifically DISP, SYSC, RAO, PERG and COBS
* Understanding of FCA policy
* Background within audit, supervision or monitoring of regulated investment firms
* Building relationships with stakeholders
* QCF Level 4
* Excellent communication skills both written and verbal

For further information please contact Stephanie Ward on 01293 848181

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.