Do you have knowledge and understanding of FCA principles with a excellent attention to detail?
Our client, a wealth management and financial well-being firm, are looking for a Compliance Manager to join their Bristol team.
Your Responsibilities:
- Monitor regulatory environment, recommend, and implement solutions for investment management
- Provide advice on asset management issues, investment restrictions, and fund regulations
- Prepare regulatory MI, draft reports, approve financial promotions, and ensure compliance
- Update compliance policies and monitor portfolio management systems
- Provide compliance advice on investment platform issues, collaborate with teams to minimise regulatory risk and ensure good customer outcomes
- Investigate and resolve FCA Rule breaches, conduct market abuse surveillance, and document all compliance activities
Your Skills:
- Strong knowledge of FCA principles, especially Consumer Duty, and the UK regulatory framework (MiFID, COBS, MAR)
- Understanding of FCA systems & controls for retail platforms; basic GDPR knowledge
- Competent Excel skills (e.g., pivot tables, VLOOKUPs)
- Knowledge of dealing, custody, and client assets
- Experience to know when to escalate issues, think critically, and challenge effectively
- High attention to detail
If this sounds like you, please apply today.