Compliance and Supervision Manager

  • Location:

    City of London, London

  • Sector:

    Financial Services

  • Job type:


  • Salary:


  • Contact:

    Stephanie Ward

  • Contact email:

  • Job ref:


  • Published:

    5 months ago

  • Expiry date:


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.

* 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

* 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

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