Compliance Manager

  • Location:


  • Sector:

    Financial Services

  • Job type:


  • Salary:


  • Contact:

    Neil Drew

  • Contact email:

  • Job ref:


  • Published:

    5 months ago

  • Expiry date:


  • Startdate:

    07/12/2018 11:56:21

My client, an award winning Compliance Service Provider are looking to add to their team.

The application and role summary
Based in the London office, the Compliance Manager will contribute to the team's interaction with compliance clients and oversee the work of 2-3 Compliance Associates. The Compliance Manager will conduct periodical compliance reviews, manage a compliance monitoring program and ensure regulatory oversight of the assigned clients on a day to day basis.


  • Manage the ongoing compliance monitoring plan for a portfolio of clients (hedge funds, investment managers, corporate finance advisors, wealth managers, crowdfunders)
  • Oversee a small team of Compliance Associates in their daily tasks
  • Conduct periodic calls with clients of the firm to discuss compliance tasks and monitor their conduct and compliance documentation
  • Perform a variety of special compliance projects and thematic reviews and sign-offs
  • Collate compliance requests and articulate issues to the compliance committee for discussion
  • Complete various client facing tasks, office visits and file reviews


  • Significant experience in working in an FCA compliance environment with a good understanding of the financial services industry
  • Team leader skills to lead a small team of 2-3
  • Attention to detail: must be able to perform all work consistently to a high level of quality
  • Time Management: must be able to manage own time on multiple ongoing projects effectively and oversee a small team
  • Ability to interact effectively with clients and influence clients
  • Desire to work in an dynamic, fast-moving and fast-growing company environment interacting with blue-chip clients
  • Qualifications and Experience
  • Bachelors degree (Law or Business preferred) or similar

Strong communication skills, written and verbal

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