Compliance Manager
CFC
Compliance Manager
Pepperstone
full-time
Posted on:
Location Type: Hybrid
Location: London • 🇬🇧 United Kingdom
Visit company websiteJob Level
Mid-LevelSenior
About the role
- Reporting directly to the Head of Compliance – UK
- Driving a strong compliance culture through the day to day management of Pepperstone Limited’s regulatory compliance framework
- Managing a broad variety of duties, including the compliance monitoring plan, all aspects of the AML/CTF program, regulatory change implementation, involvement in projects, supervision of staff and more.
- Working closely with commercial stakeholders ensuring a pragmatic, responsive and commercially minded approach aligned to the organization’s strategic objectives.
- Collaborating with the Global Compliance Team to develop shared initiatives and embed and maintain a compliance focused culture across Pepperstone’s global business.
- Overseeing the timely completion of the UK Compliance Monitoring Program.
- Drafting, implementing, monitoring and reviewing compliance policies and procedures, and maintaining associated compliance registers.
- Keeping up to date with new or changing regulatory requirements that may impact Pepperstone’s operations and working with senior stakeholders to implement changes.
- Managing and coordinating compliance educational material and providing training sessions.
- Assisting the Head of Compliance in handling enquiries from regulatory authorities and maintaining associated registers.
- Overseeing the local client complaint handling procedures and providing input into resolution processes.
- Demonstrating proactive leadership through coaching and providing guidance in meeting key regulatory obligations.
Requirements
- 3+ years’ experience in a financial services regulatory compliance role, preferably with AML compliance experience.
- Outstanding English language skills (both written and verbal) essential.
- Financial markets and compliance monitoring and/or operational risk experience preferred.
- Strong communication and collaboration skills
- Strong analytical and problem-solving skills
- Articulate and able to provide, structured, concise, considered and accurate guidance
- Well-developed documentation and policy writing skills
- Outstanding attention to detail
- Ability to work in a fast paced and time critical environment
- Ability to work effectively in teams and with stakeholders that are geographically distribute
Benefits
- Flexible and hybrid working
- Company paid sick leave
- Paid vacation leave
- Employee referral bonuses for referring top talent to the company
- Ongoing personal development & learning opportunities
- Frequent events and celebrations
- Genuinely collaborative and friendly culture
- Employee Assistance Program & Wellbeing Initiatives
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory complianceAML compliancecompliance monitoringpolicy writingcompliance proceduresregulatory change implementationcompliance educational materialcompliance registersclient complaint handlingoperational risk
Soft skills
communication skillscollaboration skillsanalytical skillsproblem-solving skillsattention to detailleadershipcoachingguidanceteamworkadaptability
