Compliance Monitoring Officer 3/6 Month Interim

1 month ago

England, United Kingdom Waystone Full time

3-6 Month Interim Role

To deliver the Compliance Monitoring plan, which is agreed on an annual basis with the regulated entities Risk Committees. This will require undertaking scoping and performing the required fieldwork for reviews allocated and reporting on any potential findings. The main purpose of this is to provide assurance to senior management that the regulated businesses are complying with relevant regulatory requirements applicable to an Authorised Fund Manager (“AFM”) and Authorised Corporate Director (“ACD”) of funds, ISA Manager , and Transfer Agency , and in other cases those of a Third Party Administrator (“TPA”).

Key Accountabilities and main responsibilities

Strategic Focus

  • Promote a positive Compliance culture
  • The analysis of trends and errors and requesting feedback on these from the business
  • Cases being worked in order of priority, considering if reportable to the Depositaries and in turn the relevant regulator, reportable to clients or within the various SLA deliverables.

Operational Management

  • To undertake compliance monitoring reviews as agreed with the Head of Compliance Monitoring to achieve delivery of the Compliance Monitoring Plan as agreed for the activities of WMUK, LFA and LFI
  • Build a close working relationship with the different departments across the business and Compliance colleagues in various locations.
  • Preparation of terms of reference documents ahead of each review for agreement with the business; this involves the consideration of the relevant rules applicable to the processes which the business area undertakes.
  • Preparation of working papers to document work performed and monitoring findings.
  • Identify areas of required enhancement and non-adherence to the relevant regulatory provisions based on the above.
  • Communicate any potential breaches immediately to management and work with the business to prevent a recurrence of the issue.
  • Discuss findings from monitoring reviews with local management in a pre-close out meeting and seek to confirm agreement of findings.
  • Produce draft reports for review by line management prior to issue to the business in draft form.

People Leadership

  • Support with all training needs within the team to ensure adequate cover for all tasks during staff absence.
  • Develop effective working relationships and ability to communicate issues and risk identified confidently with the business, while also gaining the ability to interact with all areas and all levels within the business, in order to reach agreement on actions to mitigate any further risk to the business.

Governance & Risk

  • Production of monthly MI and risk reports to senior management

Experience & Personal Attributes

  • Ability to communicate at all levels
  • Understanding of compliance monitoring techniques
  • Good knowledge of UK regulation as applicable in an Investment Management business, particularly COLL, FUND and COBS
  • Ability to think laterally and apply previous experience to new problems & displays adaptability to change
  • Ability to manage workload in order to meet deadlines
  • Proficient in the use of Microsoft office packages
  • Ability to work individually and as part of a team
  • Strong analytical and numerate skills as well as an “enquiring mind” particularly regarding attention to detail.
  • Report writing
  • Understanding of external/internal audit techniques

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