Compliance Manager (Financial Services)

Alexander Ash Consulting Ltd
55000.00 - 70000.00 GBP Annual
12 Jul 2019
19 Jul 2019
Contract Type
Full Time


My client a leading financial services provider with a global presence is currently recruiting for a Regulatory Compliance manager to join them on a permanent basis in Leeds. You'll be providing local oversight and assurance to divisional SM&CR Operating Models to ensure continual compliance with the SM&CR regulation and Interfacing with local managers and management teams to ensure there is sound knowledge and application of SM&CR.


  • Sound knowledge of SM&CR regulation and implementation in businesses
  • Good understanding of Matrix organisations
  • Sound experience in Business Partnering
  • Experience of administration of business systems and applications
  • Confidence and credibility to face off to the organisation's most senior management and directors.
  • Ability to influence decision making at a management level
  • Ability to analyse situations, data and documents and provide opinions and recommendations
  • Demonstrate excellent verbal, interpersonal and written communication skills.
  • Comfortable providing face to face communication, education and training
  • Ability to encourage action in a diplomatic fashion.


  • Oversee the collation & on-going maintenance of the Entity, Solution Line or Function's Certified population (including overseas staff as appropriate):
  • Ensure that local SM&CR control points are correctly adhered to eg ensure role profile & SoRs are fit for purpose and that SoRs/MRMs achieve full entity coverage.
  • Own and manage the Entity, Solution Line or Function's annual Fitness & Propriety (F&P) activity for SM and Certified Population:
  • Attend SM&CR SME forum (change forum chaired by SM&CR Director) on best practice and SM&CR change management
  • Act as a point of reference for managers who are considering disciplinary actions against a Certified Person. Determine (or facilitate the determination of) the F&P implications
  • Liaise with Risk & Compliance, HR & Entity, Solution Line or Function in relation to SM&CR related issues & escalations eg F&P issues
  • Identify & escalate any current & emerging trends/risks & issues resulting from reconciliation activity & MI
  • Establish, document, and maintain local operating procedures for their Entity, Solution Line or Function's specific processes & procedures as required ie if there are bespoke local SM&CR process.
  • Point(s) of contact for SM&CR Certified Population (CP) related queries in the Entity, Solution Line or Function
  • Ensure that Line Managers keep all certified roles profiles up-to-date.
  • Working with the central SM&CR team with any SM&CR related queries to achieve resolution
  • Produce a monthly/quarterly (tbc) SM&CR dashboard for the business area for senior stakeholder sign-off/'Executive SM&CR Assurance'
  • Custodian of Entity, Solution Line or Function's data in the SM&CR Management tool (Corporater)
  • Provide communications, training and education on SM&CR to local SM&CR impacted population.
  • Build and maintain an effective relationship with Leaders, Senior Managers, Functional SMEs and line management community to ensure compliant operation of SM&CR.
  • Responsible for working in accordance with the internal Framework, and compliance, including participation in the management of risks (including completion of mandatory training) that may adversely affect the business, interests or reputation of any Group Company.

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