Compliance & Legal Officer

2 months ago

Chelmsford, United Kingdom Huntress Full time

**Compliance & Legal Officer**

**Duties**:

- Be the company's primary point of contact for regulatory and legal matters including client contracts, compliance and wider regulatory or legislative matters
- Develop, maintain, and monitor appropriate written procedures to ensure compliance with relevant domestic and international legislation, regulations, and company policies
- Ensure the effective implementation of the company's Code of Conduct and undertake all aspects of monitoring, internal audit, and public reporting
- Assist with the enhancement and development of operational procedures and controls
- Prepare training material and deliver training in compliance with regulatory obligations and business procedures
- Proactively manage the mitigation of compliance breaches
- Assist in promoting a culture of risk awareness and control
- Prepare reports for domestic and international regulatory authorities
- Maintain effective relationships with regulatory and industry body stakeholders
- Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications
- Circulate regulatory development briefings to directors and senior management
- Undertake projects addressing new regulatory initiatives and the review of existing policies
- Provide advice to the directors on the regulatory implications of new business areas and new products
- Support the IT director with fulfilling GDPR and cyber-security responsibilities and research analysts with legal and regulatory research issues

**Experience Required**:

- Minimum undergraduate degree level qualification, with post-graduate diploma or equivalent, ideally in Law, Business, Finance, Company Secretarial or Compliance and Risk Management
- 4 years relevant work experience in compliance, legal or regulatory affairs
- Strong working knowledge of the UK and EU funds industry regulatory framework
- Knowledge of transfer agency, global custody or share registry operations
- Strong communication skills, both written and verbal skills
- Self-motivated and able to use initiative with a strong hands-on approach
- Experience with AAF 01/06, SOC2, ISO27001, ISO9001 or Cyber Essentials control frameworks would be desirable but not essential

Opportunity for part-time and hybrid working (office based with hybrid working available after initial training and probationary period)
Monday-Friday, 40 hours per week if full time
35k-40k

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