Compliance Manager SMCR Compliance Manager SMCR …

Bruin Financial
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 25 Nov 20
60,000
Bruin Financial
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 25 Nov 20
60,000
Gepostet von:
Perm Compliance • Recruiter
Bruin Financial
Gepostet von:
Perm Compliance
Recruiter
Our client, a leading asset management firm are looking for a Compliance Officer to join their Central Compliance team. This is a permanent position and can offer up to £60,000 per annum. The role will be focused on the SMCR framework.

Our client, a leading asset management firm are looking for a Compliance Officer to join their Central Compliance team. This is a permanent position and can offer up to £60,000 per annum. The role will be focused on the SMCR framework.

Overview of role

This role is a management position in the Compliance team in London, it primarily comprises the following key elements:

  • Working with Compliance colleagues to oversee the SMCR Framework, helping to ensure that the core regulatory requirements are met across all the organisations regulated entities
  • Maintaining and updating the SMCR operating model as required across Compliance/HR/Governance
  • Ensuring supporting policies and Compliance SMCR procedures are up to date and reflect current regulatory requirements
  • Monitoring applicable regulatory change; assisting in assessing and embedding where necessary
  • Developing and maintaining training and communication materials to support the application of SMCR, including for example: Interview preparation and  regulatory overview, induction materials for new Senior Managers
  • Owning the Senior Manager element of the Accord system; developing and implementing processes for the accurate recording and management of associated relevant information
  • Undertaking notifications and managing approvals for Senior Managers with the FCA/PRA
  • Designing and managing proactive compliance monitoring of SMCR risks

Additionally this role would be expected to work across the Central Compliance team following priorities agreed by management, this could include:

  • The provision of high quality advice, policy decisions and judgement in relation to diverse Compliance issues arising in relation to the activities of the functions comprising the organisation's Infrastructure Division
  • The promotion and communication of global Compliance policies and consistency of implementation and promotion of efficiency in global compliance processes and knowledge and task sharing.
  • The management and further enhancement of efficient and disciplined processes, quality management and constant improvement within the company and global Compliance functions governing central Compliance activities and systems

Essential Skills

  • SMCR experience, preferably from within a Compliance function
  • Relevant experience of UK financial services regulation, ideally within asset management 
  • Excellent oral and written communication skills
  • Ability to document processes in policies and procedures
  • Strong task, project and business management focus and skills
  • Must be able to work effectively, efficiently, robustly and pragmatically with compliance and business colleagues and senior management locally and globally


Please apply if this role sounds of interest.

Unternehmensporträt

BRUIN Financial is an independent recruitment consultancy with an exclusive focus on the financial services sector.

BRUIN assists leading financial services professionals secure appointments from graduate level to C-suite positions on a permanent, temporary and interim basis. From our offices in London and Manchester, we provide coverage throughout the UK and mainland Europe.

We are preferred suppliers to the world’s leading financial services institutions who value our boutique approach and our Consultants’ in-depth industry knowledge of their specialisms.

These include:

Front & Middle Office; Compliance; Credit & Risk Management; Finance & Accountancy; Life, Pensions, Employee Benefits; Project & Change Management; Legal; Operations; Sales, Marketing & Distribution; Broking, Underwriting & Claims; Actuarial, and HR & Secretarial.

Our Consultants are some of the most experienced financial services recruiters in the UK, offering expert advice and insight into the current jobs market. Whether you are seeking a short term assignment that suits your availability or the next permanent step in your career, our Consultants are on hand to help you secure the role that matches your needs.

BRUIN has been recognised by a number of industry awards for our expertise in financial services recruitment and for our innovative diversity initiatives. As a business we are vocal champions for a diverse talent pipeline and are proud of the reputation we have built in this area.

BRUIN Financial recognises the positive value of diversity, and aims to promote equality and challenge unfair discrimination.


As a champion of equal opportunity employment we welcome applications from all suitably qualified persons - men and women, people of all ages, sexual orientations, nationalities, religions and beliefs.

We particularly encourage applications from women, disabled, and Black, Asian and minority ethnic candidates as these groups are underrepresented throughout the financial services industry.

Our clients work with us because they value a diverse workforce, and subscribe to our shared principle that all appointments are made on merit and that ability to perform the job will be the primary consideration.

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