Company: Deepbridge Capital LLP
Reports to: Technical Partner
Tax-efficient investment manager Deepbridge Capital is looking for a Compliance Manager to join the rapidly growing team in Chester, Cheshire.
Deepbridge is looking for an aspirational individual with proven experience in compliance/risk within the financial services sector, keen to undertake this new role within the organisation.
The individual will be aware of tax-efficient investment structures such as the Enterprise Investment Scheme and Business Relief.
The individual will be able to prove their ethical adherence to the spirit of the rules whilst being able to show a pragmatic approach to interpretation and enactment of such rules.
£40k-70k, dependent upon experience and qualifications
The Compliance Manger will be responsible for overseeing the compliance function. Ensuring the highest possible compliance standards are met at all times the compliance manager will work with the Technical Partner to review existing practises and, where required, introduce new procedures to improve efficiencies.
The role will include reviewing new business, monitoring investment processes, approving financial promotions and ensuring compliance with AIFMD, MIFID II and FCA guidelines.
The Compliance Manager will ensure that Deepbridge maintains its reputation for providing excellent service within a stringent regulatory framework.
The Compliance Manager will ensure that Deepbridge continues to conduct its business in full compliance with all national and international laws and regulations that pertain to its propositions, as well as professional standards, accepted business practices, and internal standards.
- Ensuring AML requirements are met on all new business received
- Ensuring suitable appropriateness checks are undertaken on all new clients
- Reviewing investment proposals agreed by the investment management team to ensure they comply with relevant rules and guidelines
- Assisting with the development and risk management framework
- Responsible for the Compliance Monitoring Programme
- Introducing new compliance systems and procedures, as appropriate
- Understanding and reviewing company capital adequacy requirements
- Working with the marketing and sales team to ensure adherence to financial promotion regulations
- Producing and maintain compliance reporting
- Submitting appropriate reporting to the FCA and or other appropriate authorities
- Addressing all areas of legal and regulatory compliance
- Managing risk projects
- Communicating key regulatory and compliance messages via the company intranet
Duties may also include:
- Any other task reasonably expected
- Have experience of working within the financial services or venture capital sector
- Have solid knowledge of the FCA handbook
- Understanding of tax-efficient investments such as the Enterprise Investment Scheme, Seed Enterprise Investment Scheme and Business Relief
- A proactive approach
- A key understanding of and observance of ethics and principles
- Excellent communication skills
- Diligent an fair decision making skills
- Strong time management and the ability to prioritise the work load
- An aspirational personality and a desire to join a growing team and be a key member of the team
- Degree qualified preferable.