AddressOverview
We are recruiting for a Compliance Managerto join our team, reporting to the Head of Compliance. The team are responsible for delivering all aspects of the Compliance function for the European regulated entities.
The Compliance Managerwill require experience of managing a small team of Compliance Associates and will support and develop the execution of the compliance monitoring and assurance plan, as this will be their focus.
You will work together with the other Compliance Managerin the team to advise and support the business, regularly engaging with operational staff and working collaboratively with second line functions, including those across the wider Link Group. You will oversee the identification of areas for improvement and support continuous improvements across the business to minimise risk and ensure changing business and industry trends are understood and regulatory compliance maintained.
The role is based on a hybrid basis from our stunning office in Leeds city centre, so you must be within a commutable distance.
- Monitoring compliance by supporting the development and execution of the compliance monitoring and assurance plan
- Line managing a small team of Compliance Associates, including conducting 1 to 1’s and management performance reviews
- Supporting the other Compliance Manager with advising and supporting the business to meet their regulatory obligations relating to processes, systems and controls for both current and pipeline regulatory and legislative changes
- Regularly engaging with operational staff, working collaboratively with second line functions, including across the wider Link Group
- Overseeing the identification of areas for improvement and supporting continuous improvements across the business to minimise risk and to ensure changing business and industry trends are understood and regulatory compliance is maintained
- Maintaining regular engagement, whilst providing feedback to key stakeholders, ensuring timely feedback is provided
- Managing compliance monitoring reporting and MI
- Interpreting regulatory obligations to key business and senior stakeholders
- Reviewing and approving financial promotions, client communications and template documentation, in addition to supporting reviews and updates of policies and procedures
- Overseeing and supporting with the identification of regulatory change and any project implementation
- Supporting input into the delivery of the regular Compliance team reporting to relevant Boards and governance committees
- Working with the Compliance Monitoring and first line control teams to provide advice on their surveillance, monitoring and oversight responsibilities
- Maintaining regular engagement with and providing feedback to key business and senior stakeholders on compliance breaches and incidents, whilst facilitating the root cause analysis
- Supporting the business and the Head of Compliance with Regulatory responses, coordinating industry forums and engagement and promoting and supporting the continuous improvement of all operational processes
- Exceptional verbal and written communication skills, with the ability to build and maintain relationships with a variety of internal and external stakeholders
- Previous line management experience, with the skills, empathy and drive to support, lead and mentor a small team
- A demonstrable understanding and working knowledge of regulatory requirements, especially, but not limited to, the Financial Conduct Authority or other regulators
- A minimum 5+ years’ experience in Financial Services industry compliance
- Strong organisational skills, with great attention to detail and quick to learn
- The drive and desire to succeed whilst keeping several plates spinning and managing competing priorities
- The ability to influence, persuade and develop strong working relationships both internally and externally to achieve favourable outcomes
- An ability to exercise independent judgement and discretion whilst performing your duties
- Demonstrable leadership skills with an enthusiasm to support and develop your team to grow within the business
- A pro-active, self-motivated, resilient and can-do attitude with the ability to influence and persuade
About Link Group / Corporate Markets:
Link Group works in partnership internationally with almost 7,000 clients including asset managers and investors, business managers, asset owners, trustees, issuers and borrowers. We provide the infrastructure through which assets are secured or deployed in both regulated and unregulated markets.
We offer industry-leading shareholder services through Link Market Services to a wide range of corporates, issuers and business managers. We are the largest UK share registrar providing services to more than 1,300 companies large and small across the UK.
We administer share plans for over 200 clients and have worked on more than 50% of UK IPOs since 2005. Our unique place in the market, combined with our partnership and relationship management approach, enables us to play a vital role in connecting issuers with 5 million shareholders around the world.
What’s in it for you?
- A competitive salary plus benefits.
- 23 days’ holiday to start, (rising to 25) plus Bank Holidays, with the opportunity to buy extra leave.
- Company matched pension scheme, life assurance, a cycle2work scheme, fully paid maternity, adoption and shared parental leave, paternity pay…and plenty more.
- Voluntary benefits designed to suit your lifestyle – from discounts on retail and socialising, to health & wellbeing, travel and technology.
- The possibility of working from home and flexible working
- You’ll get the chance to follow your chosen career path anywhere in Link Group. You’ll be joining a network of 7,000 experienced, innovative and dedicated individuals across multiple teams and countries. There are countless opportunities to learn new skills and develop in your career and we’ll provide the support you need to do just that.
What we hope you’ll do next:
Choose ‘Apply now’ to fill out our short application, so that we can find out more about you.
We’re an equal opportunity employer, which means we’ll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and their passion and we’re committed to creating an inclusive environment for all employees.
Candidates must have the relevant work rights to be considered for an opportunity at Link Group. Successful applicants will be required to complete background screening prior to commencement of employment.
Our Corporate Markets division provides clients with a comprehensive corporate market offering that connects issuers to their stakeholders. Our uniquely integrated range of corporate markets capabilities includes shareholder management and analytics, stakeholder engagement, share and unit registry, and employee share plans. We also offer company secretarial support, as well as various specialist offerings such as insolvency solutions. We operate in twelve countries throughout Australasia, Asia, Africa, the Middle East, United Kingdom and Europe.
Our teams combine a wealth of industry experience with a rigorous focus on client management to deliver a premium service underpinned by market leading digital technology provided by our Technology division .
Link Group is building a dynamic, client focused, caring and inclusive culture that is built on the foundations of an entrepreneurial spirit, effective risk management, empathy and trust, and underpinned by its core values.
We are an inclusive employer whose people work collaboratively. We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive and their wellbeing is supported. We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of the Link Group journey and together we will achieve our full potential.
We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.
Candidates must have the relevant work rights to be considered for an opportunity at Link Group. Successful applicants will be required to complete background screening prior to commencement of employment.
