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Regulatory Compliance Manager

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  • Sector:

    Financial Services, Insurance

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  • Published:

    over 2 years ago

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The Audit Risk Recruitment Company (ARRC)* has been mandated to assist our client, a growing financial services technology business, in their search for a Regulatory Compliance Manager.

This role sits across both the assurance and asset management functions of the business, therefore offering wide and interesting exposure.

Within the Asset Management function, you will take responsibility for ensuring the investment trade cycle is compliant with current regulations as well as trade valuations and investigating potential market abuse.

You will also work within the main assurance function executing regulatory reviews.

This is a great opportunity to join a developing 2nd Line of Defence Function and gain exposure to both investment management and insurance intermediary compliance matters in support of a global business with ambitious growth plans.

Key responsibilities


  • You will support Compliance in ensuring that all businesses comply with all applicable legal, regulatory and contractual requirements to which they are subject.
  • You will contribute to the design and maintenance of a robust risks and controls framework and be responsible for monitoring compliance with that framework
  • You will be responsible, liaising with other business functions, for ensuring that all applicable regulatory filings are completed accurately and submitted in a timely manner.
  • You will support with the preparation and submission of relevant regulatory applications including as regards director / SMCR changes, other ad hoc approvals and FCA survey responses.
  • You will assist with the Internal Capital Adequacy Assessment Process (ICAAP), Liquidity Risk Assessment Process (LRAP), Pillar III and new Prudential Regime
  • You will oversee the business units’ compliance with their client SLAs as well as those of its service providers (including for the Investment Manager, Bloomberg/AIM front office, bank custodians and execution service providers).
  • You will undertake KYC checks on new clients and on-going CDD checks on existing clients, suppliers and in relation to any proposed alternative asset acquisitions.
  • You will support external and internal audits of all businesses
  • Assist in the Planning and Mapping of Annual Compliance Framework and Monitoring Plan You will, in conjunction with the Group’s Assurance Function.

This will include:

  • You will further embed the CASS 5 compliance and controls framework with the insurance intermediary business and be responsible for monitoring and reporting on compliance with that framework to appropriate stakeholders.
  • You will manage the external CASS 5 Audits.
  • In performing your duties, you will be required and expected to comply with the FCA’s Conduct Rules (COCON) as well as other rules and regulations applicable from to time.


Required experience:


  • Significant Regulatory Compliance experience within a regulated environment (This may include internal audit reviews of regulatory compliance)
  • Exposure to compliance within trade life cycles, trade valuations and a in depth understanding of a trade life cycle
  • In depth understanding of MiFID 2 regulation
  • Experience of CASS and CASS 5 reviews
  • Clear understanding of SMCR conduct rules