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Working in close collaboration with all departments to ensure that integrity, professionalism and adherence to applicable requirements are maintained at all times. This is the official control function role under the current FCA regulations.
Update and implement changes to the compliance ruebool in accordance with FCA and European legislation. Ensure the business receives timely updates and training in accordance with the changes.
Identification and analysis of risks and regulations relevant to the activities of the Company (current and planned), including:
Maintain a mapping of relevant regulation, (e.g. FCA Handbooks, UCITs Directives, etc) to company policies and processes ensuring all applicable regulatory requirements as well as AM / Group's internal requirements are in place
Perform monitoring of the implementation of and adherence to company policies and processes across the business
Detect evolving regulation affecting the company; proactively sharing relevant developments with relevant colleagues
Interpretation of the applicability to the company of regulatory developments
Update of the compliance framework and/or rules of the company as necessitated by regulatory developments
Follow-up to ensure implementation across the business of change necessitated by regulatory developments
Provision to the business of reliable analysis of regulatory requirements (checking as necessary with law firms and other compliance officers of the industry) as well as AM / Group internal requirements and policies
Proactively working with the business:
Work in partnership with the business to resolve identified compliance issues
Actively partner with the business to ensure that compliance input is provided for all activities of the Company including significant changes to business activities; to provide interpretation into compliance issues (e.g. private investment transactions, investment restrictions, ethics etc) and report to management
Performance of training and monitoring: ensure through a comprehensive training and new hire induction programme and monitoring activity to ensure that staff are aware of the above policies and procedures and comply with them; this includes:
Regular training on Compliance policies and rules
Regular monitoring of the Compliance status, including checks, reporting and follow-up of non-compliance cases
Regular Compliance controls on financial security, professional ethics, market abuse, client's interest among other topics
Reports (regular as well as ad hoc) to Local Management on the results of:
violations, breaches and compliance developments
ensure proper and timely reporting to the supervisory authorities
Ensure adequate management of the relationship with internal as well as external regulators, including:
Handling of regulatory enquiries, inspections and incidents
Assistance to the business to agree and define solutions for all internal audit and Inspection
Participation in committees: organise and lead committees of Compliance; participate in local governance framework, i.e. Exco, Internal Controls Committee & Corporate Risk & ICAAP Committee to represent Compliance management issues (advisory and monitoring) - see Reports above
Team management: To manage, coach and motivate the UK Compliance team in order to achieve the required Compliance level; to set roles and responsibilities for local projects with major compliance content in order to get compliance issues addressed properly and proactively
As the UK Head of Compliance, you will also be required to carry out the following activities:
Provide proactive advice, recommendations and reports on Compliance
Have involvement and oversight of Compliance monitoring activities
Be up to date with Regulatory and Legal changes and how they will impact the Company
Play a lead role in the roll-out of SMCR
Adapt Local and Group Global policies into internal policies and procedures and ensure they are implemented
Provide compliance support to other UK based entities via a Service Level Agreement
Ensure all Group Financial Sanctions processes are applied and reported on as required