Job Title

Job DescriptionSkills, Experience, Qualifications, If you have the right match for this opportunity, then make sure to apply today.Third Platform Services Limited (TPS or the Firm) provides a Model B Clearing service to financial intermediaries which entails trade execution, settlement and safe custody. The Firms customers are all FCA regulated firms that typically provide wealth management and advisory services to underlying retail clients.Role Overview:Reporting to the Head of Compliance, the role of the Compliance Manager will be to manage the various responsibilities detailed below, provide day-to-day support to the Head of Compliance and to deputise for them, as requested, in their absence.Responsibilities:a) Deputising for the Compliance Officer in their absence including attendance of internal committee and management meetings and supervision of junior members of the Compliance team;b) Support the firm delivery its strategic aims and objectives in a compliant manner, including providing compliance support to in-flight change projects;c) Dealing with ad-hoc issues delegated by the Head of Compliance;d) Support in the delivery of a compliant SMCR framework, including:i. ensuring all staff performing senior manager or certification functions are duly identified and promptly registered with, or notified to, the FCA; ii. maintenance and where required, updating, of SMF statements of responsibilities;iii. timely issuance of annual re-certifications for all certification staff; andiv. maintenance and updating of the Firms SMCR policy and procedures.e) Responding to day-to-day compliance queries from the business and the Firms customers; f) Investigation of customer complaints and drafting of written responses thereto in compliance with regulatory complaints handling requirements;g) Completing due diligence assessments on prospective customers prior to on-boarding;h) Assisting the Head of Compliance in the preparation of responses to information requests from the FCA and other regulatory bodies;i) Drafting and updating of the Firms Compliance policies and procedures;j) Assisting the Head of Compliance in the development and updating of the Firms Compliance Monitoring & Assurance Programme;k) Overseeing the submission of regulatory returns by the Firm;l) Providing second line oversight of the transaction reporting process; andm) Assisting in the execution of the Firms Compliance Monitoring Programme if required.Required Experience and Attributes:i. At least seven years generalist Compliance experience which ideally has included provision of business advisory support, monitoring and testing, drafting and updating of policies and procedures, representing Compliance in internal committees and working groups, customer complaints handling and general liaison with customers and external third parties; ii. Good understanding of current UK legal and regulatory requirements pertaining to Client Assets, Code of Conduct, Conduct of Business, Customer Complaints Handling, and the Senior Managers and Certification Regime;iii. Knowledge and/or experience in any of the following areas would be advantageous; CRS and FATCA, Data Protection & Privacy, Market Abuse and Transaction Reporting;iv. Ability to communicate clearly both verbally and in writing;v. Ability to manage and prioritise own workload and meet deadlines; andvi. Proactively look for ways to enhance current Compliance documentation and practices.A little about usWe are the Nucleus Group Services Limited and we help make retirement more rewarding. Here at Nucleus, people come first - whether its our colleagues, or the advisers and customers we support, we know that working in partnership and collaboration leads to the best outcomes. Together, weve shaped the platform to how it is today. We work hard, and we celebrate hard too.Our ambition is to create a platform with a difference, putting the customer centre stage meant tearing up the rule book and starting from scratch. Weve come a long way since then, but our mission remains just as focused. Thats why our culture, values, and social responsibility are things we keep at the top of our agenda because we know they matter and have a big impact.Our culture is one of the many things that sets us apart from the pack. We want to have an environment where our people feel that they can make a real difference, know theyll be rewarded for their efforts and more importantly, enjoy themselves at work.Are we a perfect match? Check outthis video and find out!Inclusion and diversity at NucleusAs with most things in life, who cares, wins. We really care about inclusion.For us its not a tick box exercise; inclusion and diversity are embedded in our culture and everything we do. Its a commercial imperative. It isnt about being PC. Its about being future-relevant and durable. We owe it to ourselves and the industry to ensure we are playing our part in creating a fair, balanced and transparent financial services sector.More diversity means broader experience, a wider set of perspectives and a better collective ability to problem-solve. And it means being more representative of customer groups, which supports areas such as product development.At Nucleus, we offer a generous blend of benefits for the things that really matter to our people, including a non-contributory pension, bonus, enhanced parental leave, paid time off for emergencies, health and wellbeing initiatives and flexible working options. xjdpvnf If youd like to find out more about us or the role, please get in touch with our recruitment team.