Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Compliance Manager at Old Mill ensuring adherence to ICAEW Practice Assurance and Ethical Standards. Developing compliance policies and monitoring staff CPD records while collaborating across teams.
Responsibilities
- Develop and implement compliance policies and procedures that align with accounting regulations and standards.
- Evaluate the effectiveness of existing compliance programs, identify areas of improvement, and implement necessary changes.
- Conduct compliance audits and reviews to ensure adherence to internal policies and external regulations.
- Assist with the adherence to legislative and regulatory matters.
- Stay informed about legislative and regulatory requirements.
- Train and educate staff on compliance matters.
- Engage in the annual CPD planning process to identify relevant and sufficient CPD for the teams.
- Monitor staff CPD records on an ongoing basis to ensure CPD is being carried out and evidenced appropriately, and ICAEW CPD regulations are being complied with.
- There is also the opportunity to expand the role to include assisting with the design and production of training material to include recommending appropriate topics for inclusion.
Requirements
- To succeed in this role you are likely to already have your ACA or ACCA under your belt or will be expecting to qualify soon.
- In-depth knowledge of accounting principles, regulations, and standards.
- Strong analytical skills and attention to detail.
- Excellent communication and interpersonal skills.
- Ability to effectively train and educate staff on compliance matters.
- Familiarity with compliance software and tools is a plus.
Benefits
- Generous Holiday Allowance – Start with a minimum of 25 days of annual leave, plus bank holidays, with the option to purchase up to 5 additional days.
- Celebrate Your Birthday – Enjoy an extra day off to celebrate.
- Flexible Working – Hybrid working model with 3 days a week in the office, allowing for a great work-life balance.
- Employee Assistance Programme – Confidential support available 24/7 for your mental, physical, and financial wellbeing.
- Ongoing Professional Development – Full funding for your professional qualifications, with continuous learning opportunities.
- Perks and Discounts – Access to exclusive employee discounts on a wide range of products and services.
- Pension Scheme – A competitive pension to help plan for your future.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
EMEA Regulatory Specialist providing regulatory support at Univar Solutions. Alongside a global team to handle customer inquiries and compliance in the chemical sector.
Regulatory Affairs Coordinator maintaining regulatory documents for research projects at Geneva. Overseeing IRB application processes and supporting research staff with documentation and compliance.
Trade Compliance, Customs and Sanctions Manager role providing compliance advisory on trade controls and customs at Vodafone. Key responsibilities include risk management and stakeholder collaboration on global trade activities.
Regulatory Associate at Reckitt ensuring compliance with global regulatory requirements for new product developments. Collaborating to create comprehensive product registration dossiers and navigate regulatory landscapes.
Lead compliance programs for IESO ensuring adherence to regulations while supporting business and stakeholder engagement in electricity sector.
Vice President of Regulatory Policy providing oversight for regulatory reporting issues related to banking regulations. Focused on Basel III, policy development, and regulatory stakeholder collaboration.
Senior Manager responsible for developing risk management systems and compliance processes at RBC. Collaborating with various teams to minimize investments risks in technology infrastructure.
Compliance Regulatory Change officer ensuring timely identification and communication of regulatory changes affecting RBC businesses. Supporting compliance across Canadian financial sectors with impactful oversight.