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Core-Asset Consulting's client, a leading investment management house in Edinburgh has a brand-new opportunity available for a Regulatory Risk Consultant to provide support to the Regulatory Risk Manager on all regulatory liaison and regulatory risk matters within the business.
We are actively seeking applications from achievement oriented individuals with around 3 years + experience of regulatory risk management and control, coupled with strong knowledge of the asset management industry and a good understanding of the UK financial services regulatory environment. You will be required to have excellent communication skills and a proven ability to work to tight deadlines.
Regulatory risk management and controls experience.
Asset management knowledge, qualifications and experience.
General knowledge of the UK financial services regulatory environment.
Effective communication skills both orally and in written form.
Strong organisational ability.
Educated beyond degree level, ideally with professional qualification such as accountant, lawyer etc
Team oriented & adaptable with strong relationship management skills
Providing support to the Regulatory Risk Manager, including deputising for them in meetings with stakeholders.
Helping to ensure conduct - related regulatory change is being addressed by the first line of defence
Proactively seek out better ways of performing conduct-related matters.
Engage with the business to support and challenge them regarding their management of regulatory risk.
FCA liaison - supporting the Regulatory Risk Manager with:
Responding to market monitoring queries
Coordination of responses to other FCA enquiries, including thematic visits, risk assessments, information requests etc
Drafting and submission of all approved persons filings
Liaison with Distribution area to ensure non-monetary benefits are within regulatory risk appetite
Assisting with policy log
Assisting with conflicts of interest log (including individual conflicts log) and outside business interests log
Assisting with oversight of regulatory filings
Completion of complaints return
Assisting with oversight of literature attestations
Assisting the other members of the R&OR team in the following:
Approval of PA deals
Lifting of insider list restrictions
Supporting the Regulatory Risk Manager to embed US regulatory processes including:
Form ADV maintenance
Compliance manual maintenance
Code of Ethics maintenance
Annual Compliance Program review
Generous pension scheme
Job reference: 9792
To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.
Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.