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Operations Compliance Manager

Job Title: Operations Compliance Manager
Contract Type: Permanent
Location: Dorset
Salary: 25000 - 35000
REF: 196/42
Contact Name: Carrie Thornton
Contact Email:
Job Published: over 3 years ago

Job Description

Permanent position - Ref: 196 / 42

Operations Compliance Manager


Up to £35k p/a (pro-rata)

We have an excellent opportunity for a part-time Operations Compliance Manager to join our client based in Bournemouth.

This is a new and exciting role where you will support the business in fulfilling regulatory obligations by contributing to the development, implementation and oversight of a robust risk and compliance framework. You will work with the business to improve services by advising on policy interpretation, framework development and best working practices, as well as providing support on all financial crime matters including annual reports, processes and procedures. You will contribute to the development and maintenance of the compliance monitoring plan, complete internal and external audits whilst developing trusting business relationships.

The key responsibilities are:
* Assist in the Monitoring Programme, ensuring it's fully implemented, comprehensive and meets regulatory expectations;
* Assist in maintaining and monitoring policies, procedures and forms;
* Assist in the oversight and completion of the risk register;
* Complete internal audits;
* Ensure all reports are completed within allocated timescales;
* Monitor, log and review incidents, breaches and complaints, and work with relevant persons to ensure preventive measures are implemented;
* Assist in the creation of management information;
* Completion of regular PEP, Sanction and OFAC reviews;
* Monitoring of AML verification checks;
* Tracking of financial crime and reporting these accordingly;
* Evaluate suspicious and unusual transactions and raising activity reports as required;
* Monitoring of anti-fraud controls;
* Regular monitoring of activities;
* Preparation and collation of external audit packs;
* Assist in maintaining the regulated T&C Scheme;
* Assist with the implementation and delivery of training;
* Identify regulatory change, review and analysis and assist in the implementation of process changes;
* Raise any negative findings or systemic issues with the relevant persons.

The successful applicant will have:
* Previous experience working within a TA role:
* An excellent understanding of FCA handbooks, JMLSG and other relevant regulations;
* A comprehensive understanding of Collective Investment Schemes;
* CISI Investments Operations Certificate or equivalent;
* A good standard of general education;
* Ability to be proactive in identifying issues and concerns, recommend solutions and track until resolved;
* Ability to work independently and meet deadlines;
* Excellent attention to detail and accuracy;
* Good IT skills;
* Ability to communicate effectively on all levels;
* Ability to facilitate meetings and training;
* Ability to professionally handle stressful situations;
* An organised approach;
* Ability to manage a busy workload and undertake any work as directed.

After completion of probationary period, company benefits are:

* Death in Service benefit;
* 20 days holiday rising annually to 25;
* Pension Scheme;
* Free parking;
* Personal Health scheme.

To be considered for this excellent opportunity, apply now.


Real Recruitment Solutions is committed to a policy of equal opportunities across all areas of our business and at all stages in the selection process. Acting in accordance with the Equality Act 2010 and guidelines given by the REC, we treat everyone equally irrespective of sex, sexual orientation, gender reassignment, marital status, age, disability, race, ethnic or national origin, religion, political beliefs or membership or non-membership of a Trade Union.

From advertising vacancies, conducting candidate searches, selecting CVs, discussing vacancies and submitting details to clients through to interview preparation and at offer stage, Real Recruitment Solutions ensure that each candidate is assessed only in accordance with their merits, qualifications and ability to perform the relevant duties required by the particular vacancy.

Real Recruitment Solutions place an obligation upon all staff to respect and act in accordance with this policy and consistently review regulations as laid out by the REC to ensure our policy is updated and relevant across all aspects of recruitment in order to avoid unlawful or undesirable discrimination.