Compliance Manager

Compliance Manager (Maternity Cover - FTC up to 12 months)

Blackfinch Group is an award-winning investment specialist with a heritage dating back over 25 years. A trusted provider, we work in partnership with advisers. Our businesses cover tax-efficient solutions, early stage investing, managed portfolio services, property financing and renewable energy. As an environmental, social and governance (ESG) investor, we work for a positive impact. We're proud to be entrusted with over £600 million in assets under management and administration.

We are seeking candidates who are familiar with financial services governance. If you are a dynamic and hardworking individual wanting to develop your career in an entrepreneural environment - we'd like to hear from you.

Purpose of Role

To assist the Compliance Officer to maintain effective regulatory systems and controls and ensure compliancewith the FCA Handbook and other applicable legal requirements necessary to effectively undertake this role.To work with the relevant business unit to find solutions and to work with the Compliance Officer to create anenvironment where compliance with regulatory rules and guidance is regarded as part of the norm and risk mitigatorsare understood and applied.

Key Accountabilities

• Support the Compliance Officer in fulfilling the FCA Senior Management Functions (SMF16 & SMF17).
• Maintain the business' regulatory training programme and induction training ensuring updated in line with any regulatory and legislation changes.
• Conduct compliance monitoring activity as per the company annual Compliance Monitoring plan.
• Provide assistance with the updating and maintenance of compliance policies.
• Assist the Compliance Office with anti-money laundering and financial crime issues with outside parties, e.g. administrators, police, regulatory and industry bodies.
• Under the supervision of the Compliance Officer, prepare reports to relevant Boards and Committees.
• Check promotional material produced by the business, providing feedback on any changes required to ensure agreement with FCA rules.
• Assist in day-to-day management of agreed projects.
• Attend relevant industry briefings, training, seminars and conferences as appropriate.
• Assist with CASS requirements of the business, providing support or the Client
• Accounts team with reconciliations, dealing and preparing the monthly CMAR reports.
• Prepare regulatory returns in a timely and accurate manner.
• Undertake any other duties commensurate with this level of position.

Essential Experieince

• Have a minimum of 2 years experience working in compliance and money laundering in the financial services industry, preferably, although not essential, in investment management.
• Have a minimum of 1 years experience of working within a 'risk management' regime.