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Multi Asset Operations Regulatory Compliance Manager

Information About This Job

Job Title: Multi Asset Operations Regulatory Compliance Manager
Contract Type: Permanent
Location: London
Industry:
Salary: £65,000 - £70,000 base
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 4 months ago

Job Description

The purpose of this role is to lead oversight of the outsourced Transfer Agency (TA) function on behalf of Multi Asset (MA) to ensure designated administrators comply with all regulatory requirements and agreed MA business and service standards. It will also support all other Operational regulatory changes and compliance activity.

 

Key Responsibilities

  • Take proactive approach to establish strong relationships across MA and its external administrators, to ensure accurate management information can be produced on transfer agency and operational regulatory activity as required

  • Build the CASS oversight model in conjunction with the MA risk and compliance team and Operations, and develop appropriate error reporting controls and monitoring for the MA business and its third party administrators

  • Monitor the implementation of, and adherence to, the CASS model by both the MA business and third party administrators

  • Implement a regular assessment of the MA business and its TA administrators’ adherence to CASS rules and support the annual CASS audit

  • Provide governance of third party Transfer Agency data and also ensure its compliance with all GDPR policies

  • Support all regulatory process and product change with the Operations Team to ensure the business meets its strategic and regulatory objectives

  • Manage tax reviews for MA and sign off HMRC returns

  • Introduce an oversight process for AML regulations and for any other new regulation that will impact the MA business and/or its processes

  • Oversee and manage any business changes required to ensure MA and its transfer agencies maintain compliance with any new or changed TA regulation

  • Support the overall strategy, including its values, standards and policies

 

Skills & Experience

  • Strong knowledge of the financial services industry, in particular the asset management sector

  • Previous experience in a regulatory change role

  • Comprehensive knowledge of CASS regulation

  • CF10A (desired)

 

Personal Skills

  • Act with integrity, due skill, care and diligence

  • Ensure customer outcomes are the focus of the business and respected by regulators

  • Collaborate with peers across the Organisation

  • Share openly and be transparent

  • Adopt a responsible approach

  • Pioneering:

  • Maintain an entrepreneurial culture

  • Strive for continuous improvement

  • Lead by example

 

Other key skills required are:

Delivery focused with high energy and drive

  • Strong interpersonal capabilities

  • Ability to deliver and delegate initiatives through others, while ensuring that all business deadlines are met

  • Communicating with impact

  • Agile decision making in a focused simple manner

  • Strong risk awareness and management skills

  • Building effective relationships with internal and external stakeholders for the benefit of MA, and OMW more broadly

 

Benefits

The firm is offering an innovative and flexible reward package. In addition to your starting salary, they also offer:

 

  • Access to a great range of offers and discounts from well-known retailer.

  • Season ticket loans

  • The ability to buy and sell holiday

  • Bonus – most employees are eligible to participate in the bonus scheme, based on the company and personal performance

  • Pension Scheme – non-contributory company pension scheme that can be boosted through personal contributions

  • Private medical insurance

  • A flexible benefits package (eg: dental insurance, childcare vouchers, retail vouchers)

 

The company is committed to creating an inclusive culture which embraces diversity. They promote equal opportunities and ensure that no applicant is subject to less favourable treatment on the grounds of gender, marital status, nationality, ethnicity, age, sexual orientation, responsibilities for dependants, physical or mental disability. The firm selects candidates for interview based on their skills, qualifications, experience and potential.

Ref: | Published: 23 Jan 2018