Senior Compliance Manager

Job Description:

We have an exciting new managerial role within the regulatory team of our Client, a market leading financial consultancy!

The successful candidate will need to take ownership, and lead the day-to-day management, of the Regulatory team for the Group, bringing a strategic and future looking approach.

Provide clear and robust regulatory advice whilst recognising the broader commercial environment.

You will be responsible for supporting the business's compliance with both FCA and IFoA regulations.

Essential Skills/Experience:

  • Significant experience of operating at senior management level.

  • Significant experience of proactively managing the FCA/IFoA.

  • Significant experience in FCA /AML regulatory environment and reporting.

  • Strong working knowledge of related prudential regulations.

  • Proven track record of managing change.

  • Experience of working within a robust governance environment.

  • Is able to present to large groups of senior individuals.

  • Strong and effective negotiation skills with an ability to facilitate win-win results.

  • Able to interpret and communicate financial services sector regulations across full spectrum of products and services.

  • Strong understanding of operational risk management and compliance.

  • Proven successful strategic and regulatory leadership and thinking.

  • Excellent communicator with good verbal, written and listening skills.

  • Positive and enthusiastic about change.

Desirable Skills/Experience:

  • Preferable relevant professional qualification, for example a Compliance Diploma

  • Able to influence others and enlist their support.

Core Responsibilities:

  • To own and provide effective compliance policy and advisory services to the Group including supporting appropriate integration to the firms operational processes, systems and controls including IFoA Designated Professional Body regulations and consistency of application of relevant regulations to subsidiaries.

  • To provide regulatory technical support to the Group (and, where relevant, subsidiaries) on monitoring and assurance arrangements as outlined in the relevant Compliance Monitoring Programme(s).

  • Monitor the regulatory perimeter of the Group as business activities change and grow

  • Consolidation requirements and oversight of solo prudential subsidiaries.

  • To operationally act as the Depute Money Laundering Reporting Officer and thereby ensure appropriate AML/Financial Crime policies, procedures, systems and controls are appropriately drafted and applied in practice.

  • Manage and oversee all relevant regulatory reporting and communication requirements including proactively supporting open relationships with the relevant regulators (FCA and IFoA).

  • To ensure effective and comprehensive regulatory risk MI reporting is delivered to senior management including reporting to the Audit and Assurance Group and relevant Board(s).

  • To develop, support and deliver appropriate regulatory training requirements to the firm to ensure relevant Board members /staff maintain and enhance their appropriate risk and regulatory competence.

  • To ensure the Regulatory team is appropriately structured, resourced, developed, remunerated, and motivated to provide a proactive compliance advisory service.

  • To maintain on-hand external compliance experts to supplement the team as needed.

  • To horizon scan for future regulatory developments (including assessing the annual FCA business plan) and recommend mitigating actions; lead on highlighting issues and trends where action may be needed and be responsible for ensuring the team and the wider business are aware.


  • A highly competitive salary.

  • Wider Benefits package

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 13544

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.


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