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Carry out analysis on breaches, errors and complaints when required;
Review and approve financial promotion material, ensuring all documentation meets current regulatory requirements and is consistent across the product base;
Primary point of contact for FCA Approved Persons (registrations, de-registrations);
Carry out proactive reviews across the business, including best execution, transaction cost analysis, trade allocation and market abuse monitoring, coordinating and working with the Compliance Monitor as appropriate.
Approve personal account preclearance requests and carry out personal account trade analysis;
Assist with the development of the compliance manual and policies;
Provide compliance training as necessary to ensure that the business understands its obligations;
Prepare compliance reports for reporting to internal committees and Boards;
Ensure that appropriate controls are in place to mitigate the risk of non-compliance.
Provide compliance advisory support to the business on regulatory matters affecting investments and the client base.
Provide ad-hoc compliance advice, guidance and support to the business, in respect of FCA rules affecting trading, investments and the Funds;
Respond to compliance queries from the business and assist in the resolution of issues;
Act as the point of contact for regulatory investment restrictions and the operation and monitoring of relevant compliance rules within Bloomberg;
Monitor regulatory developments and assess their impact on business.
Keep abreast of regulatory changes as they develop;
Make written recommendations for improvement to the company's policies and procedures as appropriate to ensure continued compliance;
Provide overview of regulatory changes to the Assurance team and other areas of the business, as necessary.
Provide guidance on AML/KYC processes and queries;
Assist client on-boarding to address issues/concerns and provide advice when required.