Compliance Manager

Posted last week
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Experience Expert
Contract types Permanent contract
Working time Full time
Language(s) spoken English (Fluent)

Are you currently a Compliance manager or Executive looking for a role with an international company?
Do you have a minimum 5 years experience in a Financial services work environment?
Are you an excellent manager able to mentor and motivate a team?

Organisation Description

Our client,is the leading global provider of regulatory compliance consulting services, regulatory accounting, tax services and software to the asset management and securities industry.

A new role has arisen for a compliance manager to report to the Managing Director and will manage the a Team made of a compliance senior, Compliance Executive and compliance officer.

Job Description

Client deliverables

For clients assigned to you:
Manage set up (for new clients) in accordance with the company's standards
Ensure that the compliance infrastructure is maintained in accordance with the company's standards
Where applicable, performing compliance monitoring in accordance with a plan agreed with the client each year
Production of client reports which are reviewed by a designated reviewer prior to publication to client
Providing information on regulatory developments to clients, both by means of quarterly visits, or where more urgent, by contacting clients individually (in conjunction with the firm's bulletins and newsletters)
Provide ad-hoc advice to clients as requested
Support the delivery of training as necessary
Participate in pitching on-going services and projects when required
Lead thematic reviews and other projects as requested/as needed
Overseeing client profitability on clients for which you are responsible for
Overseeing accuracy of your client's invoices
Quality control-undertake review and sign-off of client reports
Minimising non-billable time or the write off of time on the clients for which you are responsible

Client servicing

Monitoring timeliness of visits, reports and other client deliverables
Quality control of client deliverables (e.g. reports)
Maintaining up to date records for your clients
Reporting to MD on the above

Client management of compliance portfolio allocated to the Compliance team:
Ensuring that work is performed in accordance with the signed letter of engagement
Ensuring that work is performed in accordance with the Ongoing

Compliance Procedures (including Client Service Standards):
- Monitoring client profitability and suggesting fee increases to CRM/management as appropriate, and negotiating fee increases where possible
- Identifying additional fee opportunities
- Reviewing and approving additional client time and invoices on an ongoing basis
- Maintaining a good awareness of the clients' business and raising any concerns with the firm's management immediately
- Liasing with the MD on an ongoing basis on client and service delivery
- Contributing to our organisation
- Take the lead on an important technical area for the firm as a Subject Matter Leader
- Write articles for client newsletters
- Participating in internal committees as requested
- Attending external legal briefings appropriate to your technical area and more broadly as appropriate
- Reviewing and digesting regulatory developments and where applicable disseminating this information within the team
- Participating in the firms external events as required
- Updating infrastructure and tools as requested
- Proactively suggesting improvements to the firm's technical collateral and business processes
- Participating and assisting where required, in the timely integration of client on boarding from the Sales and Business Development process.

Personal development:
- Ensure that, with suitable assistance from the firm, the required level of competence is attained and maintained
- Identify, with management, any appropriate areas that you require, or desire to have additional training and agree and action plan
- Provide and receive feedback on performance
- Participate in the recruitment process as requested by management/ MD (for example interviewing potential candidates)
- Oversight

As regards the compliance portfolio allocated to the Compliance Manager:
- People Management
- Acting as a mentor for more junior staff as discussed with MD.
- Support and assist in the development of colleagues in your team and who work for you on your clients
- Initiate and supervise the delegation of work on your clients to more junior staff to maximise the profitability of the assignment, having regard to the experience required for the task
- Setting objectives for junior staff working for you and give assignment feedback
- As requested, providing formal feedback on staff overseen for yearly appraisals monitoring work load and utilisation of team members
- Ensure that you record all the time that you spend each client's affairs to that clients STAR code and encourage those that work for you to do likewise.

- Have a law or finance related degree
- Have a minimum of 5 years prior experience in a financial services or similar working environment
- A working knowledge of investment services regulation
- Be analytical and possess good time management skills
- Be goal driven and have the ability to work with minimal supervision and able to handle multiple deadlines
- Be fluent in English and have excellent report writing skills
- Proven experience in leading and mentoring a team
Interested in this ad?
People & Co. Ltd
People & Co. Ltd
Maria Cutajar
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