Regulatory Compliance - Investment Management - £40-55k DPE
Posted on Dec 11, 2018 by Charles Levick
An exciting advisory opportunity within the compliance team at a boutique sized firm, with a diversified product range which sets it apart from competitors. The objective of this opportunity is to interpret and implement regulatory compliance - horizon scanning, impact assessment, regulatory compliance. This is a permanent opportunity, and ideally, you will have about 3-4 years of experience working in a regulatory / generalist compliance officer capacity. Stock Broking or Investment Management product experience is highly desirable.
* Provide a proactive and technical service to the business on the interpretation and guidance of the FCA's rules.
* Provide impact assessment and gap analysis for any new FCA initiatives.
* Liaison with the monitoring team to update risk assessment, scheduling and focus of the compliance monitoring programme.
* Provide assistance in the resolution of errors, breaches or incidents within the company.
* Assist with the preparation of Management Information to management committees as required.
* Provide technical advice and assistance to the data privacy advisers.
* Assist in and or be responsible for ad hoc tasks, projects within the firm as required.
* Assist with Group policies and procedures reviews, updates and enhancement as required.
* Attend and contribute to monthly compliance team meetings.
* Network with peer firms to understand their interpretation of new rules.
* Attend trade bodies and or external meetings, seminars.
* Take on any role or duty, within reasonable boundaries, that the Manager deems necessary.
Experience & Qualification Requirements:
* 3+ years of experience in Compliance or a Legal financial services firm.
* Genuine interest in pursuing a career in compliance within investment management.
* Educated to degree level or equivalent is desirable.
* Appropriate professional examinations, including studies in compliance subjects, and studies in financial services subjects.