Compliance Monitoring Assistant Manager

2 weeks ago

Leeds, United Kingdom LINK GROUP Full time

To deliver the Compliance Monitoring plan, which is agreed on an annual basis with the Fund Solutions (“FS”) 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 Fund Solutions regulated businesses (Link Fund Solutions Limited(“LFSL”), Link Fund Administrators Limited (“LFA”) and Link Financial Investments Limited (“LFI”)) are complyingwith relevant regulatory requirements applicable to an Authorised Fund Manager (“AFM”) and Authorised Corporate Director (“ACD”) of funds (LFSL), ISA Manager (LFI), and Transfer Agency (LFA), and in other cases those of a Third Party Administrator (“TPA”).
You will have responsibility for assisting in the management and control of the Incidents and Breaches Register, which is held in our web based Governance, Risk and Compliance (“GRC”) system. The core purpose of this is to ensure that we have completeness andaccuracy on the reporting of breaches and incidents within our organisation so we can ensure we are appropriately reporting and meeting obligations to our Depositaries, Investment Management Delegates, Clients, Information Commissioner’s Office (“ICO”) andthe Financial Conduct Authority (“FCA”), where relevant.
**What you’ll be doing**:

- To undertake compliance monitoring reviews as agreed with the Manager, Compliance Monitoring to achieve delivery of the Compliance Monitoring Plan as agreed each year for the activities of LFSL, LFA and LFI
- Build a close working relationship with the different departments across the FS 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
- Review of breaches/incidents in GRC ensuring narrative can be adequately understood by an external party if needed. The rectification and preventative measures should be reviewed to ensure that they are adequate to correct and prevent a repeat includingvalidation of any rectification calculations.
- Where a material pricing error has occurred, ensure completion of price rework and compensation payments to investors as required.
- Promote a positive Compliance culture
- 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.
- The analysis of trends and errors and requesting feedback on these from the business
- 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 actionsto mitigate any further risk to the business.
- 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 actionsto mitigate any further risk to the business.

**What we’re looking for**:
Essential
- 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 manage workload in order to meet deadlines
- Proficient in the use of Microsoft office packages...

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