Compliance Manager

Type: Permanent
Location: London

Ocean has been engaged by a dynamic financial provider who, due to continued growth, are seeking to hire a Compliance Manager who will work with the CCO and be responsible for providing assurance to the board that the business is fulfilling its regulatory obligations. The Compliance Manager will be required to heavily contribute to the development and implementation of a robust compliance and risk management framework.    
Key remits:
  • Designing and executing the firms Compliance Monitoring strategy
  • Carrying out surveillance reviews
  • Carrying out internal and external audit reviews
  • Developing, maintaining and monitoring all compliance policies and procedures
  • Tracking financial crime, highlighted from monitoring/reviews tasks
  • Evaluating SARS
  • Consulting with the wider Compliance team to ensure that the firm's approach to delivering reviews remains effective
  • Identify enhancements in processes and assist in implementing system changes
  • Providing remedial actions to key stakeholders
  • Preparing and delivering reports to regulators and key internal stakeholders
  • Develop and maintain the regulated T&C scheme
  • Delivery of risk and compliance training
  • Keeping up to date with regulatory rules and changes
Substantial compliance experience, ideally gained within the asset management or fund services space  
Excellent knowledge of financial crime requirements
Excellent knowledge of CASS requirements
Strong documentation and reporting skills  
Excellent Stakeholder management skills  
Excellent written and verbal communication skills  
Ocean is a recruitment and inclusion consultancy dedicated to the investments industry. Our mission is to lead the recruitment of diverse talent and champion the adoption of more inclusive working cultures to help the industry innovate.  


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* Assumes 261 working days less 9 bank holidays and 25 non billing days such as holiday etc