Compliance Manager - Contract

VACANCY OVERVIEW

Contract Type:
Contract

Salary:
£400 - £450 per day

Recruiter Name:
Darren Winter

Reference:
DW-12982

Compliance Manager 
London - City
Contract (6 months)
Circa £50 - 55 per hour (£400 - 450 per day) Depending on experience

An international clearing company based in London, urgently require a Compliance Manager to help implement the DDRL programme on a contracting basis. 

This role will support the L&C department's role in implementing the compliance programme and supporting efforts to further their compliance with applicable laws and regulations. It will involve consistent management reporting for communicating and escalating compliance matters and facilitate reporting on the status of regulatory and compliance matters.
 

Responsibilities of the Compliance Manager will include: 

  • Administer policies and procedures reasonably designed to prevent violations of applicable laws and regulations;
  • Manage the production of Compliance programme status reports, presentations and metrics provided to senior management, Board Committees, and Risk Committees, which requires interaction with the Chief Compliance Officer. 
  • Collaborate with relevant stakeholders within Compliance and other control functions to assess and report on regulatory risk tolerance adherence.
  • Maintain and control record retention procedures, ensuring consistent and ongoing document classification and version control. 
  • Provide appropriate and consistent management reporting for communicating and escalating compliance matters and facilitate reporting on the status of regulatory and compliance matters.
  • Conduct internal facing compliance program assessments in response to proposed or recent changes to applicable laws, regulations or guidance.
  • Coordinate Compliance department responses to regulatory inquiries, examinations and internal audits, as needed. 
  • Lead periodic lessons learned sessions to identify trends from regulatory exams, enforcement actions, or industry best practices and monitor implementation of programme enhancements where required.

The successful Compliance Manager will have: 

  • Strong understanding of the FCA rule book and regulations. 
  • Previous experience in a project or programme management role - ideally with PRINCE 2 professional qualifications.
  • Strong analytical, problem-solving and project management skills.
  • Strong analytical, problem-solving and project management skills.
  • Experience in the Financial Services industry - Banking / Clearing / Asset Management / Exchange.
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CONSULTANT PROFILE


Consultant's Name
Darren Winter

Industry Experience
I am a senior Compliance recruitment specialist with 20 years experience in recruitment. I support many clients and candidates across the permanent, contracting and temporary Compliance & Regulation sector.

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