Average Compliance Manager salary in North London

We have an exciting opportunity for a Compliance Manager to join our UK Compliance team. Reporting into the Deputy Head of UK Compliance, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory objectives. Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week. Key Responsibilities: Assist in delivery of an effective compliance advisory function within CMC Markets UK regulated FirmsLine management of a junior team member (Compliance Analyst)Providing daily regulatory advice to the business to ensure that commercial enterprises are conducted wholly in accordance with CMC’s regulatory obligationsActing as Compliance lead for key commercial and regulatory change projectsProactive liaison with project stakeholders across the business and working cooperatively to ensure completion within deadlines. Report progress and escalate issues to the Deputy Head of UK Compliance and the Head of UK Compliance.Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspectiveManaging and coordinating key workstreams, projects and tasks within the Compliance team and across the business.Develop good working relationships with key stakeholders across the CMC Group.Promotion of a good compliance culture within the Compliance team and across the business, including the continual embedding of the firms’ Consumer Duty obligationsAssisting with Group initiatives and collaborations with wider Group Compliance colleaguesProduction of MI and reportsAssist the Deputy Head of Compliance in the day-to-day management of the Compliance Advisory teamWork closely with the wider Compliance team (who focus on monitoring, training and policy) to ensure a joined-up approach across the UK Compliance teamProactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance FrameworkAssist with third party queries and requests for information including those from regulators, auditors and counterpartiesMaintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative trainingWhen dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC MarketsTake all reasonable steps to ensure appropriate confidentialityUndertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role. Key Skills & Experience: Experience of working in a Compliance advisory function with an applicable regulatory frameworkAbility to, and experience of management and delivery of compliance projects and being compliance point of contact for business projects and workstreamsGood, broad understanding of key aspects of the UK regulatory framework applicable to CMC’s business modelGood knowledge of the products offered by CMC Proactive in taking ownership of tasksAble to liaise and build effective working relationships with a range of stakeholders of all levels of seniorityCompetent in researching regulatory requirements and relating meaningful interpretations and feedback to Compliance colleagues and business stakeholdersAbility to interpret regulatory publications and assess impact upon CMCAble to communicate effectively to all levels of the businessExcellent report writing and analytical skillsCan give direction to others to produce high quality work both independently and as part of a teamProactive in suggesting and implementing process improvements where requiredOrganised and self-motivated working styleAnalytical approach with attention to detailStrong communication skills, written and verbalAble to respond and adapt positively to changing and competing prioritiesStrong team player with ability to self-manage and manage others CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.

A law firm in London are looking for a Compliance Manager to join their team. The Compliance Manager will take day to day responsibility for the firm’s compliance, risk and business acceptance with oversight from the COO and the firm's COLP, particularly in relation to new client and matter take-on procedures. This role will act as the first point of contact for all Risk & Compliance and regulatory queries and reports to the COO. Key Responsibilities Support the Operations team with all aspects of Client Due Diligence and Conflict checks and act as an escalation for complex Fee Earner queries. AML Review AML documentation in line with the firm's policies and complete risk assessments on new and re-opened clients and mattersAdvise fee earners on the firm's AML requirementsConduct ongoing monitoring of clients and enhanced client due diligence checks for higher risk clientsConduct research in relation to AML checks and advise on best online systems to verify clients' identities and run background checks. Client and matter management Run and review conflict checksMonitor the Client Opening team inbox and respond to queries as appropriateRun sanctions checks and respond to sanction list alertsMonitor engagement letter complianceManage client and matter records maintenance e.g. updating outdated records and advising on firm policy in relation to this. Risk and Compliance Advise Operations team and Fee Earners on the firm's compliance policies and best practiceConduct new joiner and other ad hoc training for staff on the firm's compliance policies and proceduresMaintain compliance registers (e.g. undertakings)Educating employees and partners on compliance regulations and impact of non compliance to the firm including on induction and when significant changes occurMaintaining all registers, keeping up to date and producing quarterly reports for COO (Breaches, GDPR, Undertakings etc).First point of contact in dealing with and evaluating any client complaints.Assisting with annual Professional Indemnity renewal including producing risk management report to accompany PI submissions.Supporting with CQS renewal and re-accreditation and with lender panel requirements.Supporting with annual SRA registration renewalAssistance with ESG and Info Sec queriesSupervision of junior members of the team.Assist with any other duties that might be reasonably assigned to the role. Experience 3-5 years experience as a Compliance Officer in a law firm or professional service firm.A law degree/compliance or AML diploma would be preferableKnowledge of key processes such as conflict checks, and AML is a prerequisite. This is a great opportunity for someone with experience to step up into a Manager role and grow and develop with the firm helping take the compliance function forward. They are a lovely team and firm and the role offers hybrid working. Please contact Rowena Bubb of Lewis Row Recruitment with any questions at all.

Exclusive Opportunity: (Senior) Compliance Analyst - Investment Management SpecialistLocation: London-based with flexibility to work remotely 3-4 days per weekAbout the CompanyOur client is a investment management firm, providing funds of funds and tailored investment solutions to a diverse range of clients, including private clients, trusts, charities, and corporate bodies. Their offerings span active, income, enhanced passive, and ethical portfolios, as well as proprietary funds. The investment management team is part of a thriving financial services group, giving you exposure to a broader financial services environment. The RoleAs a (Senior) Compliance Analyst, you will become the investment management compliance specialist within a broader compliance team. This role offers a unique blend of regulatory advisory and compliance monitoring responsibilities, giving you broad exposure across the compliance function. Key Responsibilities Provide regulatory advice to the investment management team, ensuring compliance with FCA requirements and other relevant regulations.Conduct and enhance compliance monitoring reviews to ensure policies and procedures are effectively implemented.Collaborate with the wider compliance team to maintain a strong compliance framework.Act as the go-to compliance expert for investment management-related queries and initiatives.Support the business in navigating regulatory changes, ensuring continued alignment with industry standards.Identify opportunities to improve compliance processes as the business grows. Why This Role? Flexibility: Work from the office 1-2 days a week (or more if you prefer) with the rest of your time remote.Career Growth: As the business expands, you will have the chance to take on greater responsibility and shape the compliance function.Variety: Enjoy a broad compliance role in a collaborative environment, offering exposure to diverse responsibilities.Impact: Be part of a growing, innovative firm where your expertise will directly contribute to their success. What We're Looking For Strong knowledge of compliance within an investment management setting, ideally with experience in funds of funds or portfolio solutions.Practical experience in regulatory advice and compliance monitoring.Ability to collaborate across teams and communicate complex regulatory matters effectively.Ambition to grow with the role and take on additional responsibility over time.A hands-on, proactive approach to compliance. Visit the IDEX Consulting Ltd website for further opportunities. Please note that the information supplied may be retained for up to 10 years for use in connection with future vacancies. For full information on how we use your data, please visit the IDEX Consulting website and view our Privacy Policy. Our Diversity, Equity and Inclusion Mission At IDEX, we strive for an inclusion-first company culture where everyone is treated fairly and can bring their authentic selves to work. We recognise and acknowledge that diverse representation at every level of our business requires continuous and measurable effort. We are committed to driving conscious inclusion across our business and creating equitable pathways.