Senior Compliance Manager

Overview

The Role & Key Responsibilities
Skills Required
What you will get in return
Additional Information

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
Tab Item Content

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
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Department – Compliance Solutions – Apex Group

Employment Type – Permanent

Role Objective

The Apex Group is looking for a Senior Compliance professional to join its Global Compliance Solutions Team, providing compliance consulting services to a range of clients.

Reporting into the Global Head of Compliance Solutions, the successful candidate will be expected to work proactively and independently when required and support the growth of this dynamic business offering. The role will primarily focus on UK-based institutions, but with scope to support across Europe and have access to global regulatory centres.

The successful candidate should have an up-to-date understanding of FCA (and ability to understand NFA/CFTC and SEC) regulations.

Job Specification

  • Regulatory review and advice
  • FCA authorisations and Variation of Permission applications
  • Developing and/or managing compliance monitoring programmes
  • Regular compliance reporting to senior management and/or the fund board
  • Drafting and updating of compliance policies & procedures
  • Assisting with counterparty and third-party service provider due diligence, KYB
  • Marketing arrangements and permissions
  • Anti-money laundering and Counter terrorist financing arrangements and controls
  • AML Business Risk Assessments
  • Understanding of risk reviews, including but not limited to Conduct, Prudential, Systems and controls
  • Regulatory reporting for both UK and US regulators
  • Liaising with fund and company lawyers and other service providers
  • Provision of training to clients
  • Keep up-to-date with all relevant industry developments
  • Ad hoc project work.
  • Compliance and/or operations professional with experience within regulated financial services
  • Experience in, or interest in consulting, either internal or external would be an advantage
  • Compliance and AML experience
  • Knowledge and understanding of the relevant UK and international regulatory rules and requirements
  • Strong inter-personal and communication skills key for building both internal and external relationships
  • Team player with ability to work with the wider Apex group and to build client relationships
  • A pragmatic approach with the ability to think on your feet and problem solve effectively, proactive and solution driven
  • A good orator and have a clear and concise style of writing
  • A keen eye for detail, together with strong administrative skills
  • A willingness to help expand the business and acquire new clients.
  • A genuinely unique opportunity to be part of an expanding global business and to grow with the business
  • Opportunity to have exposure to global regulated markets and financial centres
  • Training environment which is second to none
  • Great grounding in the basics
  • Exposure to the interactions between accounts, tax, payroll and company secretariat
  • Ability to apply technical knowledge to practical scenarios.

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR)) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address: [email protected]

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Life At Apex

"Working here I have the space to be creative, take ownership and develop continuously. It’s a great company with a purpose, which in turn enables its people to identify with the core values and mission."

Diane Mero, Office Manager, Dubai

What we look for

We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.

 

Whatever your career path, ambition or skillset you will be joining an entrepreneurial environment and become part of a globally connected team. We don’t just want you to succeed, we want you to flourish.

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