Product Governance Junior Associate, Regulatory

1 week ago

Leeds, Leeds, United Kingdom Link Group Full time

Overview


As part of a small team, reporting into the Product Governance - Manager, you will be a Junior Associate member of the team responsible for fund regulatory documents including Prospectus and KIID; as well as liaising with the FCA, Depositary and the wider WS Business.


Strong organisation and comprehension skills are required and the role is to work as part of the wider team in ensuring that the products are reviewed and maintained in compliance with applicable regulations, industry standards, internal policies and to implement necessary controls to mitigate potential risks.


You will be required to collaborate with cross-functional teams both internally and externally to assist in the establishment of product governance throughout our scheme documents.

frameworks and processes.

Key Accountabilities and main responsibilities

  • Review of scheme documentation (full and simplified prospectus, KIID, PRIIP, instrument of incorporation / trust deed) to ensure that prospectuses, simplified prospectuses, KIID, PRIIP and EMT are in line with regulatory requirements.
  • Assisting in projects/updates, organising and assisting with the wider team workload.
  • Assist with responses with the FCA and trustee / depositary on all matters relating to prospectuses, simplified prospectuses, KIID, PRIIP and EMT this will include regular reviews and amendments.
  • Track and update MI on progress of prospectus approval matters with FCA and depositary.
  • Ongoing maintenance of procedures and policies.
  • Ensure documentation is maintained to a satisfactory standard.
  • Understanding different requirements under the required regulator and various product types KIID, PRIIPS, EPT and EMT
  • Ensuring all breaches are raised and correctly completed.
  • Each member of staff has responsibility to adhere to Group's policies and procedures; to ensure operational controls are carried out in accordance with laid down procedures, and to ensure the ongoing mitigation of business risk. In this regard regular training should be agreed with the departmental manager / team leader.

Experience & Personal Attributes
Required

  • Ability to work to deadlines and to also be able to deal with high volumed work loads.
  • Good interpersonal skills are essential when liaising with internal and external stakeholders
  • Experience of working in a regulated firm in the financial services industry
  • Excellent recordkeeping, as well as written and verbal communication skills both within the team and the wider areas of the company.
  • Excellent communication skills both written and verbal
  • Attention to detail
  • Team orientated approach
  • An innovative outlook, with the ability to look for change and continuous improvement
  • Time management, able to prioritise workloads
Desirable

  • Intend to undertake or have undertaken the IMC modules
We are a leading independent Authorised Fund Manager and provider of fund administration and transfer agency services.

We leverage our specialist knowledge and technology to support traditional and alternative funds in UK, Ireland, Luxembourg and Australia.

With a focus on strong governance, regulatory expertise and risk management, our business helps to manage regulatory compliance for asset managers and investors.


Our unique place in the market, combined with our partnership approach, depth of experience and well-invested systems, enables us to support investment managers through the challenges of changing market and investor needs, and, as a result, help them to enhance returns, minimise costs and mitigate their risks.


Link Group is building a dynamic, client focused, caring and inclusive culture that is built on the foundations of an entrepreneurial spirit, effective risk management, empathy and trust, and underpinned by its core values.

We are an inclusive employer whose people work collaboratively.

We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive and their wellbeing is supported.

We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of the Link Group journey and together we will achieve our full potential.


We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.

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