Senior Compliance Manager - Technical

Bristol (City Centre)
+ Progression Opportunities + Award Winning Share Plan
14 Oct 2016
22 Oct 2016
Contract Type
The Senior Compliance Manager – Compliance is a key management role within the second line of defence Compliance Team, within Computershare’s three lines of defence operating model. This is a senior management role within the Compliance Team, and includes the proactive and professional provision of technical support services to business areas and day to day support to the Compliance Officer, enabling a consistent delivery of quality Compliance advice to the UK Management Team and respective business areas. The role holder will have direct accountability for maintaining effective business relationships, together with the provision of technical support services that enable management to meet their/the firms regulatory and legal obligations associated with the Financial Conduct Authority (FCA), Data Protection Act (DPA) and Anti-Money Laundering (AML). Internal Stakeholders: (Including Direct and Indirect reports) Direct reports – none First line of defence Governance Teams Operational Senior Management Second line of defence Risk and Audit Teams Compliance Monitoring and Regulatory Development and Policy Team Second line of defence teams, incl. Legal, Info Sec and Risk Third line of defence, Internal Audit External Stakeholders : (Including clients and suppliers) Group Compliance Functions (e.g. CISIL, CISJL and CTCNA) Client Compliance/Audit Functions Regulatory/Legal Bodies (e.g. FCA, Financial Ombudsman Service and Information Commissioners Office) External Auditors Main activities/Regular tasks: To develop successful working relationships with first line of defence Governance Teams and Senior Management in order to understand the regulatory universe associated with each business unit. To include all CIS PLC branches. The provision of technical support services to first line of defence governance teams and senior management, to enable the business to make informed decisions on Compliance matters and operate in a compliant manner. To include the provision of technical support services during the following; Business Projects Product Development/Enhancement Life Cycle Attendance at Business Forums (e.g. CREST Steering Group) Implement controls to ensure that appropriate legal and regulatory impact is subject to full consideration prior to advice being provided to the business. To include controls that enable adequate record keeping and audit trails of the considerations and advice provided. To consider the customer experience in the provision of Advisory services. To support the Head of Compliance in the provision of support to the business in general and Senior Management. Production of clear, concise and timely management information associated with the activities undertaken. Ensure that the second line of defence stance is instilled at all times during the provision of Advisory services (i.e. maintaining appropriate Compliance independence). To proactively promote and embed the values of Computershare; Certainty, Ingenuity and Advantage…… An understanding of the Data Protection Act (1998) and EU GDPR. A strong understanding of the FCA Handbook - in particular COBS, CASS, SYSC, APER and DISP, obtained from working in an FCA authorised and regulated firm. Detailed knowledge of the UK’s Money Laundering regulations and Anti Money Laundering regime as well as industry guidance and best practice e.g. Joint Money Laundering Steering Group Guidance. Strong inter-personal and communication skills that facilitate open working relationships with staff at all levels in the business. Line management experience. Educated to degree level or hold appropriate industry qualifications. Minimum of 3 years’ experience within a compliance role for an FCA authorised and regulated firm. We offer all employees 25 days’ holiday, an excellent pension scheme and the opportunity to own a slice of Computershare through our employee share plan. You can also choose to take advantage of a range of flexible employee benefits, including subsidised membership of our on-site gym. We have a modern newly refurbished working environment and offer great opportunities for career development. Hours: Monday to Friday, 35 hours per week, 9am-5pm All successful candidates will be required to undergo the Computershare Pre-Employment Screening Process before commencing employment. Employment will be subject to satisfactory clearance on background checks including Identification, Passport Validation, Finance, Qualification, Employment / Personal referencing and Criminal Record Basic Disclosure checks. Computershare Investor Services PLC is authorised and regulated by the Financial Conduct Authority. Computershare Investor Services PLC is registered in England and Wales No 3498808 and the registered office address is: The Pavilions, Bridgwater Road, Bristol, BS13 8AE. This job was originally posted as