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Business Integrity and Compliance Consultant

Information About This Job

Job Title: Business Integrity and Compliance Consultant
Contract Type: Temporary
Location: London
Industry:
Duration: apx. six weeks after appointment.
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: over 1 year ago

Job Description

About The Company

The firm is the UK’s private sector Development Finance Institution (DFI) and is wholly owned by the UK Government. Their mission is to support the building of businesses throughout Africa and South Asia to create jobs and make a lasting difference to people’s lives in some of the world’s poorest places. The firm's portfolio of investments is valued £3bn (year end 2015) and includes 1,293 investee businesses.  Last year, these companies together helped create 1.03 million jobs.

The firm's strategy, set in conjunction with the Department for International Development, means they only make investments in Africa and South Asia. They invest directly by providing equity, debt, mezzanine finance and guarantees to businesses; and also indirectly through supporting fund managers who are aligned with the firm;s aims and who invest capital on their behalf. 

 

About The Role

The Business Integrity and Compliance team, in addition to other roles, provides support to the investment teams in conducting integrity due diligence research and risk assessments for potential and existing clients.  

To meet increasing demand, two consultants are sought on a temporary basis to support the Business Integrity and Compliance research capability by conducting detailed online research in relation to projects being considered by the firm

To ensure the full implementation and consistent application of the Business Integrity and Compliance Manual by the Business Integrity and Compliance team, an internal Business Integrity and Compliance procedures manual is to be developed for the Business Integrity and Compliance team. 

The manual is to be structured in two parts:

  • Business Integrity – all aspects of the due diligence conducted in relation to the firm's investments including the KYC requirements

  • Compliance – all aspects of FCA related compliance requirements beyond those conducted in relation to the firm's investments

 

Scope of Work

A consultant is sought to draft the compliance aspects of the Business Integrity and Compliance Team Internal Procedures Manual which will focus on the following areas:

  • FCA matters – Permissions, Approved Persons, FCA Reporting, Maintenance of Registers etc.

  • Client Assets

  • Confidentiality

  • Conflicts of Interest

  • Prevention of Market Abuse and Insider Trading

  • Employee Fitness and Propriety

  • External Interests 

  • Personal Account Dealing

  • Gifts and Entertainment

  • Freedom of Information Act

  • Data Protection Act

  • Whistle-blower Reporting

The work will draw upon the firm's Business Integrity and Compliance manual and will involve consultation with the members of the Business Integrity team as well as a review of any related documentation.  Liaison may also be required with the consultant who is preparing the Business Integrity aspects of the internal manual 

 

Timeframe

The work is expected to take approximately 20 days and the expected completion date is six weeks after appointment. 

 

Deliverables

The consultant will deliver a finalised version of the compliance components of the Business Integrity and Compliance Team Internal Procedures Manual. 

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