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Link Asset Services is a fast growing, dynamic business with market leading positions across our areas of expertise – funds, market services, corporates and private client, and banking and credit management services. With offices across the UK and Europe we are part of Link Group who are headquartered in Australia. A truly global organisation, Link Group provides us with a strong platform to realise our growth ambitions and continue to build on our success.
You can play a key part in this – at Link Asset Services we recognise the importance of supporting and developing our people, so we listen to colleagues, train our teams and invest in great working environments. Add to that a culture that champions respect and integrity, a diverse and inclusive colleague base and a commitment to positively influence the communities we work with and you'll get a flavour of life at Link. At the bottom of this role advert, you'll find more information on why you'll enjoy working with us...
To contribute to the delivery of an engaging and effective compliance culture within the business, through the delivery of risk-based compliance monitoring, providing advice and guidance on issues and new products and ensuring that the business is operating within a compliant manner.
To develop and maintain a thorough, up to date understanding of the relevant FCA rules and all applicable statutes to the business, ensuring its regulated business activities are in line with the FCA rules
Remain up to date with all regulatory developments and assess the implications for the business and where appropriate recommend and implement changes
Support the delivery of the Compliance monitoring plan by completing monitoring in line with the annual plan, engaging with the business, identifying areas of regulatory risks and issuing a report that appropriately describes the risks and any recommendations.
Provide relevant advice and approval to any new products, marketing initiatives or enquiries that may be sent to the team, ensuring that the response is sufficiently documented and recorded.
Where appropriate, design and assist with the delivery of be-spoke training to staff and actively review to ensure these remain up to date and reflect the current regulatory environment
Monitor and assess all compliance breaches and incidents, providing feedback to the business to support the improvement of knowledge and the quality of incident reporting.
Maintain and review all FCA required registers, including complaints, breaches, gifts, staff dealing and incident register
Complete and submit reports/registers/returns to various parties (including senior management)
Obtain knowledge and awareness of relevant rules and business practices to become an SME in the chosen field.
Assist in compliance and regulatory change projects as allocated
Assist with the update and maintenance of Compliance procedures
Experience in working in an FCA regulated environment
Ideally a graduate in Law, Business or Finance
Relevant professional qualification (IOC/ICSA) or willingness to study for required qualification
Excellent communication skills – both written and face to face
Ability to use Microsoft Office programmes
Proactive and solution focused
Applies sound analytical thinking
Ability to manage relationships and work collaboratively with stakeholders across the business and externally
Demonstrates sound moral and ethical practices.
Able to sustain long periods of concentration to digest complicate and lengthy text
Innovation, change and continuous improvement
Risk and conduct management
Negotiating and influencing.
Planning and organising
Link Group's purpose statement 'Together we achieve' reflects how much we value working together: with each other; with our clients; and with third parties, to help everyone achieve success – both personal and professional
We have an ongoing commitment to career progression, training and education as well as a competitive compensation and benefits package that under pins this.
At Link, you'll find we support achievement and celebrate success. So, if you want to be a part of this, click the 'I'm Interested' or Apply button...
Internal Number: 5869932
About Link Asset Services
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