Asset Management

6 months ago

Edinburgh, United Kingdom Phoenix Group Full time

**Job Type**: Permanent

**Hiring Manager**: Head of AM Portfolio & Regulatory Compliance

**Location**:This role will be based in either in our Edinburgh or Wythall office, with time spent travelling between our Phoenix offices (inc. London). Please also read about **Phoenix Flex here
We have an incredible opportunity here at Phoenix Group as an **Asset Management - Regulatory and Assurance Analyst **to join our Line 1 Asset Management Portfolio Compliance Team.

**Who are we?**

We want to be the best place that any of our 6,800 colleagues have ever worked.

We’re the UK’s largest long-term savings and retirement business. We offer our 12 million customers products across our market-leading brands, including Standard Life, SunLife and ReAssure, with c.£259 billion of assets under administration. We’re a FTSE 100 organisation that is tackling key issues such as transitioning our portfolio to net zero by 2050, and we’re not done yet.

**The role**

The Regulatory and Assurance Analyst is a key role within the AM Portfolio Compliance team, which is part of the Phoenix Asset Management’s Business Control and Governance (BC&G) function. Established within Line 1, the team is responsible for delivering compliance support capability to assist Phoenix Group’s exciting investment strategy.

This is a key role in operationalising investment compliance controls and providing compliance advice guidance on business initiatives to support Phoenix Group’s exciting investment strategy. The role will be involved with reviewing new business and investment proposals, regulatory horizon tracking and implementation, overseeing controls around the management of key Compliance Risk topics and assurance monitoring. You will work alongside the Head of Portfolio Compliance and other functions within Phoenix Asset Management stakeholders (including Front Office, Middle Office, Operations, Business Control & Governance); Phoenix Group stakeholders (including Group Compliance, Operational Risk, Legal) and external third parties, in developing, implementing and maintaining an efficient and secure Line 1 portfolio and regulatory Compliance framework.

**Key Responsibilities**

**Policy Advice and Implementation**
- Ensure that business fully understands its obligations in relation to the Compliance policies and processes in place
- Support business on Compliance policy and process related queries, for example in relation to inside information/wall crossing requests, information barriers, PA dealing and conflicts of interest.
- Advise the business on the introduction of Compliance processes as a result of new or updated AM activities.
- Ensure that the Compliance policy framework (as developed by Line 2) is embedded within the business
- Support development and implementation of procedures for the business to follow to ensure Compliance with the policies, including the provision of training where necessary. Monitor the adherence of the business to the policies and procedures on a day-to-day basis.

**Regulatory Monitoring and Implementation**
- Undertake regulatory change implementation work, impact assessments and work alongside the business with the development and implementation of new processes following the identification (by Line 2) of regulatory change that could impact AM.
- Liaise with Line 2 to get expert input on the details of the regulatory developments. Assurance monitoring on activities undertaken by both the business and staff to identify any areas of potential non-compliance with regulatory requirements and Compliance policies across a range of topics, including: Mandate Monitoring, Trade and Transaction Reporting, Financial Crime (incl. AML/ITC), ESG, Market Conduct
-

**Additional Responsibilities**
- Compliance enabling advice to support new business and investment proposals, and participation in projects
- Monitoring on activities undertaken by both the business and staff to identify any areas of potential non-compliance with regulatory requirements and Compliance policies across a range of topics, including:

- Market abuse, including e-comms, call recordings and trade surveillance
- Personal account dealing
- Gifts and entertainment
- Outside business activities
- Best execution
- PA dealing
- ITC, ABC, AML
- Conflicts of interests
- Provide support to the business with the management of compliance issues, regulatory breaches and mandate breaches, to ensure timely escalation, resolution and mitigation.
- Conduct oversight and monitoring of the KYC and other associated checks carried out by the business ahead of direct investments
- Manage and maintain Line 1A wall crossing processes of pertaining to inside information and confidential business information, and ensuring regulatory requirements are met.
- Senior Management Function Mapping
- Regulatory support to Phoenix AM Senior Leadership and liaison with the Phoenix Regulatory Relationships team (examples include: monthly AM, Actuarial, Finance

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