Compliance Officer jobs in Manchester
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
Manchester
Manchester is known as one of the UK's main cities: beside London, the Greater Manchester area is the country's biggest centre for the financial and professional services sector, with 324,000 Manchester staff and generating £16.2 billion of GVA annually.
The city is notable for many things: its beautiful architecture, which ranges from Victorian inspiration to contemporary styles, its famous sports clubs and even its scientific output. After all, it was at the University of Manchester that Ernest Rutherford first split the atom, in 1917 precisely!
Getting around
Visiting Manchester and commuting to work is very easy once you are in the city. Its city centre is known to be quite compact: if you happen to live nearby, walking might be your best option to get around. But if you happen to live a little further away, you can either take the bus, the tram, the train, and so on. Make sure to download a travelling app like Google Maps or Citymapper on your phone to get route suggestions in real time.
Latest jobs in Compliance
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2 days ago
Investment Compliance Analyst
London
About the jobRutherford have been mandated by a global, UK-headquartered asset manager. The successful candidate will join their Inves...
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2 days ago
MLRO
Manchester
About the jobWe are supporting a global leader in payments and financial services with a pivotal hire for a Money Laundering Reporting...
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2 days ago
Senior Vice President, Legal & Compli...
New York
$300,000-$350,000
About the jobRutherford is partnered with an elite private markets firm that is looking for a Senior Vice President in their Legal & ...
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12 days ago
Head of Compliance (Part-Time)
London
Rutherford is currently supporting a growing Private Credit business in London. This position is offered on a part-time or contract basis...
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22 days ago
Compliance Officer
London
About the job We have been mandated with an exciting opportunity for a Compliance Officer to join our Wealth Management client's team i...
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22 days ago
Compliance Analyst
London
About the job We are currently working on a Compliance Analyst search for a global asset management firm headquartered in the UK. The s...
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22 days ago
Funds Paralegal
London
About the job Rutherford has been mandated on an excellent opportunity for a Paralegal to join our private equity client's London legal ...
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22 days ago
Compliance Associate
New York
About the job Rutherford is exclusively partnered with a leading multi-strategy hedge fund that are looking for an Attorney in their New...
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22 days ago
Compliance Officer
Luxembourg
About the job We have been mandated on an exciting opportunity for a Compliance Officer to join our Asset management client's team in Lu...
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22 days ago
Chief Compliance Officer
Dubai
We are mandated on a search for a global digital assets exchange in Dubai. The firm are looking for a Chief Compliance Officer to build ...