Compliance Technical Specialist

2 weeks ago

London, United Kingdom Compliance Professionals Full time
Job Description

THE COMPANY:


Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.









THE RESPONSIBILITIES:


  • Managing and reporting on regulatory projects, including advising on and supporting the business in implementing regulatory change.
  • Support the Compliance Monitoring team with mapping and interpretation of key regulatory requirements as are applicable to the annual Compliance Monitoring Plan, as required.
  • Assist in the design and maintenance of the compliance training content.
  • Support the delivery of the Compliance team’s key processes and controls, production of monthly MI, KRI/KPI and risk reporting.
  • Lead on tracking regulatory horizon developments in the UK as they relate to financial crime.
  • Support on tracking regulatory horizon developments as they relate to The Pensions Regulator.
  • Lead on the completion of the annual Group Financial Crime Risk Assessments.
  • Assist the MLRO to prepare the annual MLRO Report.
  • Manage and oversee updates to the framework of Compliance Policies, Manuals and Procedures, including approvals via relevant committees.
  • Manage and oversee responses to counterparty diligence requests.
  • Support the Operational Due Diligence Team on visits and reviews of external managers and key suppliers.
  • Lead on Compliance review and approval of corporate communications and member collateral.
  • Lead and facilitate the production of consumer duty dashboards, and associated reporting.












EXPERIENCE REQUIRED:


  • Thorough knowledge of UK regulatory framework, including the UK’s measures to combat financial crime.
  • A good understanding (and maintenance of understanding) of rules and regulations (FCA and tPR) on defined contribution pension schemes as they relate to and apply in practice to the group.
  • A willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, advice, monitoring and training solutions within Public and, Private Markets Groups.
  • Demonstrable experience of managing compliance tasks such as compliance framework implementation and delivery of technical compliance advice.
  • Demonstrable experience of dealing with the regulatory change agenda in the asset management sector.
  • Understanding of different asset classes, including equity, credit, fixed income, derivatives and alternative investments.
  • Excellent working knowledge of FCA rules and industry best practice.















For further information please contact Spencer Evans

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