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Compliance Officer

3 months ago

Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom BMC Recruitment Group Full time

Monitor and assist the business to manage change:

  • Proactively monitor and review regulatory developments on a weekly basis, making initial assessments and producing summaries.
  • Provide technical advice and guidance on compliance matters.
  • Maintain a detailed regulatory change road map with the business, identifying key workstreams, actions required, solutions and progress to plan.
  • Analyse business/regulatory changes with business owners, produce working papers, perform gap analysis, advise/assist business owners and track key milestones and deadlines.
  • Monitor and manage Financial Regulatory Reporting with operational teams across the business.
  • Maintain compliance risk issue and incident records in conjunction with the wider business and manage/oversee Trustee/Depositary reporting:
  • Ensure issues/incidents identified are promptly recorded, classified and assigned owners.
  • Ensure prompt investigation and rectification.
  • Review cases to ensure completeness of records, including a concise summary, detailed sequence of events and root cause analysis, and effective corrective and preventative action.

Build and maintain strong relationships across the business Maintain and administer key compliance policies and procedures:

  • Review and handle PA dealing requests, inside information records and other administrative tasks.
  • Produce conflict risk management information for senior management.
  • Review and maintain the Compliance Manual in consultation with senior management.
  • Prepare MI to be included in Board/Committee reports.

SKILLS/EXPERIENCE

  • Good general knowledge of regulated financial services and obligations
  • Awareness of the regulatory environment for asset managers.
  • Working knowledge of the FCA Handbook
  • Relevant level 3 industry qualification (or higher), equivalent experience or a commitment to studying.
  • A proactive attitude to continuing professional development, including regulatory technical knowledge and soft skills.
  • Numerate. Good verbal and written communication skills, including report writing.
  • IT proficient, including Word, Excel, and PowerPoint.

Benefits:

  • Salary: Up to £32,000.00 per year
  • Free Onsite parking
  • Hybrid work options