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Provide compliance advice, guidance and support to the UK business;
Manage the day-to-day operations of the compliance program, conducting periodic compliance reviews and providing reports;
Execution of compliance monitoring and testing activities (AML, KYC, Market Abuse) controlling, identifying and reporting on issues and exposures. Driving closure of compliance monitoring report recommendations to resolution;
Draft, review and revise Compliance policies and procedures to ensure that practices remain compliant with all current laws, regulations and client contracts;
Plan, prepare and conduct continuing compliance training to staff;
Preparation of various regulatory registrations, reporting and returns to the FCA within set time frames including controller reports, approved persons application, etc.
At least 6 years PQE in a compliance role in the financial industry, preferably asset management;
A very good understanding of the legal and regulatory compliance processes associated with the financial industry (asset management) and FCA regulations;
The ability to effectively balance compliance and commercial considerations;
The ability to prioritise and focus easily in this ever changing world;
You can take us and our clients on a journey to delivering a modern, digitalised and compliant solution and services, you are someone who stands his/her ground.
Managing conflicting priorities is crucial in such a broad role. Building effective working relationships and having strong interpersonal skills will help ease a lot of this right from the start;
Change is a constant factor – you need to be able to handle this;
We have high expectations of you and we expect you to get the job done;
We'll support you and mentor you, but there isn't much room for hand holding here. Your focus is execution and you have the ability to start things without much guidance.
First point of contact for Compliance! Expect full ownership! From you we expect delivery and focus. You get things done!
Execution and being compliant are essential, following others is not! We want to go above and beyond – set a new standard. You're curious and have initiative to investigate;
We're consistently breaking new ground and we'll need you to be consistently enthusiastic about it. Savviness to learn and adapt to a fast-moving environment. When things change you'll be ready in the front line!
WHAT WE OFFER
Enrolment in our competitive workplace pension;
Free access to our yoga and meditation classes at the office;
Working in our beautiful new office, smack in the middle of Shoreditch with a meditation pod, and a chill-out hammock.