About The Role
As CF10 you will quickly need to build an understanding of the key compliance risks and work closely with the Group’s Central Compliance and Compliance Monitoring functions to co-ordinate and align responsibilities in order to provide an effective compliance service to the Asset Management business.
Your role will be to provide regulatory and technical advice and expertise on all compliance issues relating to Asset Management.
You will be expected to identify existing and emerging regulatory and compliance risks and ensure they are appropriately managed. You will also be responsible for providing compliance advice and day-to-day compliance oversight to the business.
Success in this role will be measured through your ability to ensure that regulatory requirements are clearly defined and implemented throughout the company in a manner that is proportionate and cost-effective, that new regulatory compliance requirements are implemented when due, that regulatory risk is minimised through maintenance of robust systems and controls; minimising the likelihood of material FCA rule breaches occurring; and that we receive satisfactory outcomes of any reviews initiated by the FCA.
The size of the firm provides for an interesting and varied role which requires a hands on approach
You will report to the CEO and be directly responsible for managing the Compliance Team (currently 1 other member).
Skills and experience
Successful candidates are likely to demonstrate the following:
- Extensive financial services industry experience within Asset Management
- Portfolio Compliance experience (UCITS/Client Guidelines etc)
- Degree level (preferred)
- Professional Compliance/Regulatory Qualification (or related Industry Qualification e.g. Post Graduate Diploma/Diploma in Compliance or Investment Management Certificate/Chartered Financial Analyst)
- Extensive experience in a senior level Compliance role (in-house or consultancy).
- Proven record of working in accordance with all regulatory, compliance and conduct risk policies.
- Proven experience of contributing to strategy and operational plans in a regulated environment.
- Direct experience of dealing with the FCA
- Mentoring/coaching staff
- Proven understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation (especially suitability).
- Strong appreciation of Compliance and Conduct Risk and how these are embedded within a business.
- Highly Ethical and principled, analytical and diligent.
- Self-motivated, well organised and proactive.
- Good communication skills.