Compliance Manager

Brown Shipley, Manchester, GBR, M3 3HF
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Purpose of the Job

At Quintet, we are looking for talented, passionate people who are eager to help us build the leading challenger private bank in Europe, and beyond. Is that you?

Brown Shipley are seeking a Compliance Manager to join the team in our modern new office at No.1 Spinningfields, to ensure a proficient advisory service to BSCO.

Key Accountabilities

- To work with the rest of the Advisory team to provide support for:
• the Front Office
• the head of compliance
• others within the compliance function

on a wide range of FCA/PRA issues.  To act as the main point of contact for compliance queries. 

- To monitor the regulatory environment (FCA) and provide guidance and support to the firm to ensure we continue to comply – providing Horizon Scanning.
- To undertake thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise.
- To assist in the identification of gap analysis and implementation of relevant regulatory measures and industry guidance pertaining to the regulated activities of the Company.  To produce summary reports and impact assessment of consultation documents where requested.
- Support training initiatives for the company as a whole, working with HR and others to develop a compliant, business-oriented culture.
- Support the business in relation to their Conduct Risk Framework
- To develop own professional expertise through on the job training, formal training and, where appropriate professional qualifications.
- To review Financial Promotions against the regulatory requirements.
- Carry out any other duty as may reasonably be required.

Knowledge and Experience

A good working knowledge of the FCA and PRA handbooks
The ability to interpret rules and regulation and communicate the requirements clearly and effectively
Experience of drawing up and maintaining policies on regulatory requirements
Excellent written, verbal, numeric and comprehension skills and IT proficient
Fluent English and any European language would be advantageous

Attributes and Qualities

Aligns to a team with a strong work ethic who, collectively and individually, understand the importance of meeting deadlines through a ‘can-do’ attitude.
Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.
To work and conduct yourself with skill, professionalism, discretion and values befitting a member of the Compliance Department.
Ability to engage people effectively in order to recognise and achieve agreed outcomes.
Excellent record keeping - use of ascribed folders, naming conventions, dating and version control – required to create a lasting and robust records upon which the senior managers can rely.
Effective diary and work management

Languages Skills

Fluent in English

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