Group Compliance manager - Operations

Michael Page Finance
Wales, Cardiff
£40000 - £45000 per annum + Plus benefits
Closing date
Nov 9, 2021

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Job Role
Compliance Accountant
Contract Type
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Job Details

The Group Compliance Manager - Operations is a newly created role within the organisation and will be responsible for enhancing, improving, auditing & monitoring current systems and processes throughout the organisation.

Client Details

My client is a large Financial Services organisation based in Cardiff.


This is an exciting, newly created role reporting directly in to the Financial Director.

The role will include but not limited to:

    Determine systems and process related priorities across the Investment businessDevelop and implement appropriate systems and processes across the organisation to support the commercial businesses to be compatible with our legal compliance requirements and to meet good industry practice.Review and evaluate current documentation, processes, systems and practices against agreed frameworks and develop gap analysis planManage the effective implementation of the identified improvements to current systems and processes, working alongside relevant teams e.g. Finance, Technology, Customer Services, Legal and Compliance etcReview and assess the financial services regulatory requirements across customer operational proceduresDesign and monitor control systems to ensure compliance with both internal company policy and external regulationManage and provide training, advice and support to the financial services operations team and wider operational teams in financial services compliance, processes and proceduresConduct systems and process risk assessments, regularly assessing the efficiency of the controls in placeMonitor performance of of systems and processes and facilitate interventions to manage risksPerform systems and process audits and compile reports to identify non conformances and actions to improveDocument financial services compliance-related processes and maintain recordsKeep up to date with financial services regulatory changes and developments


Knowledge & Experience

    Educated to degree levelAn accredited qualification in financial services regulatory and compliance assurance will be advantageous. Experience as a financial services regulatory compliance specialist, of FCA regulation and requirements or similar in the financial services, wealth management and/or investment management sector Experience of auditing and driving improvementsDeep and sound knowledge of regulatory policies as well as proven track record in implementing systems and processes in accordance with policiesExperience of training and providing advice and support to operational teams around systems, processes and procedures Excellent interpersonal and communication skills with experience in communicating across all levels of an organisationProven experience of driving improvements through systems, processes and technologyExperience of influencing and leading cross functional teams to develop and implement solutions.
Key Behaviours:

    Strong team player, who is comfortable in working as part of a virtual teamStrong analytical skills, paying careful and particular attention to detail, and also have an investigative mindsetDiligence and perseverance, must be willing to see an issue through to resolutionMethodical and planned with strong attention to detailPassion for customers and user experienceAlways looking for the next improvement opportunityConfident and articulate in expressing your ideas to a mixed audience with varying views and challenges

Job Offer

Salary c £40,000 - £45,000

Hybrid working

Excellent benefits


Michael Page specialises in the permanent, temporary and interim recruitment of qualified accountants. In fact, our organisation was founded to provide selection and recruitment services for accounting professionals and has been a market leader in this field for more than 35 years.

We have earned the trust of clients in industry and commerce, the banking and financial services markets and the public and not-for-profit sector. We also have an exemplary track record of completing assignments for everyone from small, boutique practices to the Big Four firms.

Many of our consultants have a background in accounting and finance – that’s real, grass roots expertise at your disposal. Combine that with the global reach you get from a company that has over 155 offices in 36 countries and you’re looking at a pretty formidable package. We are confident no other consultancy is better qualified to help you make that crucial, next step in your career.

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