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Transact is the leading independent investment wrap platform in the UK. First established in 2000 we have over 159,000 client investment portfolios (31st March 2018) and £31.8 billion of funds under direction (30th June 2018)
Our service includes an online platform, owned and built by us, and dedicated regional adviser support to bring assets and investments together in a smarter, more tax efficient way.
We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7.
About the role:
The role will see you supporting the Compliance Manager, Regulatory Policy, and Senior Compliance Manager, Regulatory Relations, to deliver the work of the Regulatory Relations Team and, as required, the Compliance Department more broadly.
The role will involve monitoring, assessing, and advising on the impact of emerging regulation and regulatory initiatives affecting the Group. You will also be responsible for assisting with the compilation and timely submission of data, reports and information to the Group's regulators, including the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
Key areas of responsibilities include:
Supporting the horizon scanning activities of the team, including preparation of the monthly Regulatory Developments Update, analysing regulatory papers to assess the impact on the firm, and maintaining associated records;
Co-ordinating the compilation and submission of periodic reporting and ad hoc information requests to the Group's regulators on time, assisting in determining parameters for data and information to be supplied, and validating its accuracy and completeness prior to submission;
Maintaining a forward looking calendar for the submission of information and reports to the Group's regulators;
Maintaining robust record keeping arrangements for logging and retaining inbound and outbound regulatory correspondence;
Supporting compilation and submission of applications to the Group's regulators including Approved Person's registrations, variations of permission and waiver applications;
Assisting as required with responses to consultations and the implementation of necessary changes to policies, procedures, processes and systems;
Supporting and co-ordinating the Regulatory Relations team's management of on-site visits by the Group's regulators;
Working with the wider Compliance Department to ensure high quality departmental compliance reporting and MI is provided to the Group; and
Assisting with the co-ordination and delivery, as required, of regulatory change projects and compliance initiatives.
Who we are looking for:
The successful candidate will have experience working within Financial Services and good foundation knowledge of FCA and PRA rules. You should have strong research, analytical, organisational and planning capabilities, and an appetite to question and learn. Excellent attention to detail is required, as is the ability to work to tight deadlines under pressure, working both independently and as part of a team. Due to the nature of the role and Transact as a business great relationship management and interpersonal skills are essential.
Internal Number: 4669989
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