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We are currently looking for an experienced, hands-on, and energetic Director of Compliance to join our FinTech clients London Office! The ideal candidate will be responsible for leading the compliance function of their UK operations, including conducting reviews to evaluate the firm's compliance with applicable laws and regulations and ensuring that control gaps are adequately escalated and mitigated through remedial actions. In addition, the candidate will be responsible for establishing best practices for our global operations. This role will give you the opportunity to: Build the compliance operations, including the selection of relevant vendors and creation of appropriate policies and processes; Conduct reviews in order to assess compliance with legal, regulatory, and internal firm policy requirements; Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations; Determine the root cause of issues and develop effective remediation plans to mitigate the risks; Drive implementation of local regulatory change/remediation projects and initiatives. A bit about you: 7 years of industry experience within institutional broker-dealer activities; Previous experience with a broker is required; Previous experience of being an SMF16 officer (Compliance oversight) and SMF17 officer is a big plus (MLRO); Previous experience within the securities financing industry is a plus; Strong analytical, writing, and presentation skills; Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change; Strong attention to detail, balanced with a strong focus on execution and results; Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting; Excellent communication skills.
Role Overview We are looking to recruit a Compliance Manager to provide support to the Head of Residential Compliance and UK offices, both Residential and Non-Residential. Experience is essential within the property industry. The role will include reviewing and communicating changes to government legislation to the business, project related tasks and day to day support. This is a challenging and varied role and would suit someone who is organised and self-motivated and who has a high level of attention to detail. The role will be within a busy working environment, requires multi-tasking and being able to work on your own initiative building a rapport with colleagues within Savills offices. This role requires someone who can demonstrate reliability, flexibility and enthusiasm and is a great opportunity to become part of an experienced and friendly team. Key Responsibilities Support the business on the government legislation for the property industry. Review and understand any changes to government legislation and consider how these will be implemented. Communicate changes to legislation internally and identify additional training that may be required as a result of changes to legislation. Working with the Head of Residential Compliance and generate guidance to the business. Provide assistance to the business with responses to compliance related questions within Client Tender Questionnaires. Provide assistance and guidance to the business on the Conflict Checking Protocol and management. Assistance with the management of the RICS Valuation Registration Scheme. Provide guidance to the business on client Terms of Business including liaising with Group Legal if required. Assisting with communications within the business, including e-bulletins, blogs and other mailouts as required. Participate in Compliance meetings and working groups with other parts of the business and implement any changes. Organise team meetings as required, including circulating minutes and follow up on any outstanding actions. Be responsible for the Regional Compliance Advisor group and organise meetings including circulating the minutes. Assist the Compliance team with any relevant projects or tasks and respond to any adhoc compliance queries. Key Skills Proficient in Word, Excel and Outlook. Excellent communication skills, both verbal and written. Ability to work in a team, building relationships and trust in others, support multiple people across the business. High attention to detail, organisational skills and ability to prioritise the workload Ability to work to deadlines. Used to a busy working environment and able to cope with pressure A can-do' attitude. The ability to deal with several issues at the same time. Self-starter, who relishes challenges and strives for the best. Strong research and problem-solving experience. Maintain a high level of professionalism when dealing with clients and colleagues. Exercise confidentiality and discretion at all times. Team Overview We are a small team of four supporting all of the Residential offices headed up by the Head of Residential Compliance, including a Customer Relations Manager, a Training Manager and we are now looking for a new Compliance Manager. We have over 40 years' experience between us at Savills and we work closely together assisting the offices with their procedures, rolling out changes to legislation, training and handling complaints across the UK. We regularly visit Savills offices as a team or individually to provide support as and when it's required and we meet as a team at our Head Office as often as we can. We work closely with stakeholders in other divisions, and attend external meetings to represent Savills along with other industry experts. Find out more about Savills offer Recruitment agencies Savills only pay agency fees where we have a signed agreement in place and that agency has been previously contacted and directed by a member of our recruitment team. We do not pay agency fees when speculative and unsolicited CVs are submitted to Savills or any of our employees other than via our careers website and through our recruitment process. If this is not adhered to, agency fees will not be paid. Submission of any unsolicited CVs or proposals to Savills will be deemed evidence of full and unlimited acceptance of this approach.