At a Glance
- Tasks: Lead compliance efforts and develop robust frameworks in asset management.
- Company: Dynamic asset management firm focused on regulatory excellence.
- Benefits: Competitive salary, mentorship opportunities, and a collaborative work environment.
- Other info: Join a forward-thinking team with excellent career advancement potential.
- Why this job: Shape the future of compliance while making a real impact in finance.
- Qualifications: Experience in compliance, regulatory knowledge, and team leadership skills.
The predicted salary is between 70000 - 90000 £ per year.
Responsibilities Develop, implement and maintain robust compliance framework, policies, and procedures.
Providing regulatory advice and guidance to all parts of the division, including senior management.
Manage a small team and provide coaching and mentorship.
Oversee regular risk assessments, compliance reviews, and audits.
Stay up-to-date with regulatory developments, industry trends, and emerging risks.
Develop, review, and maintain Compliance policies, procedures and information to the business.
Review and approve marketing material and presentations.
Work in partnership with senior stakeholders across the business.
Assist in the Compliance due diligence process for ACD’s and Man Co’s.
Monitoring, recording, and dealing with complaints against the regulated firm(s).
Requirements Keeping up to date knowledge of regulatory developments at UK/EU level.
Experience in reviewing and tracking relevant FCA consultations and other policy documents.
Develop, implement and maintain robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements.
Providing regulatory advice and guidance to all parts of the division including the board/senior management.
Manage a small team, provide coaching and mentorship to junior team members.
Ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
Oversee regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
Stay up-to-date with regulatory developments, industry trends, and emerging risks.
Develop, review, and maintain Compliance policies, procedures and information to the business.
Experience with regulatory returns submissions to all relevant authorities with particular emphasis on FCA returns.
Have a good knowledge of topical and relevant regulatory regimes such as Mi FID 2, Consumer Duty, UCITS, ICAV, GDPR, SMCR and Consumer Duty regulations. #J-18808-Ljbffr
