Compliance Monitoring Executive

2 weeks ago

London, United Kingdom ACA Group Full time

**Date**:Mar 14, 2023

**Location**: London Hybrid, GB

**Company**:ACA Group

**The Opportunity**:
As part of ACA Mirabella, the Compliance Monitoring Executive is responsible for the compliance oversight of a variety of clients requiring regulatory hosting solutions from Alternative Investment Funds and Investment Managers to firms seeking to become Appointed Representatives providing regulatory advice and undertaking the Compliance Monitoring Programme.

ACA Mirabella as part of the ACA Group provides regulated hosting services to the discretionary management and advisory sectors and manages approximately $25bn in assets. It was established in the UK in 2004 and has been active in continental Europe, via Malta, since 2014.

ACA Mirabella employs a team of c.40 professionals who have helped over two hundred firms undertake regulated activities under its umbrella, while allowing them to retain their own brand identity and control.

**What You'll Do**:
New Client Take-On and Compliance Infrastructure Set-Up
- Responsible for the oversight of the onboarding process for allocated clients, including:

- Overseeing regulatory due diligence on clients including individuals, corporates, and funds to assess the clients ‘threshold conditions’ and ‘fitness and propriety’
- Advising and assisting in the review and completion of compliance policies and procedures bespoke to each client
- Establishing Compliance Monitoring Programmes and thematic reviews based on client due diligence and risk-based heatmap assessments
- In conjunction with other Mirabella teams establishing the “Onboarding Proposal” to the Mirabella New Client Committee
- Dealing with compliance-related queries; as well as steering the client through to the start of its regulated activities

Client Compliance Monitoring and Ongoing Advice and Assistance
- Advise clients on all matters of regulatory compliance relating to their business activities
- Carry out ongoing monitoring reviews (both thematic and focused) to determine whether key business systems and controls are adequate and operating effectively to comply with relevant regulations and legislation
- Attend scheduled client monitoring meetings to identify, investigate and escalate conflicts and/or breaches and other risks and document findings
- Produce regular compliance monitoring reports and provide detailed input to weekly management meetings updating on the status of any monitoring issues and recommending remedial actions
- Acting as the main point of contact for client compliance issues
- Ensure that clients are complying with Mirabella’s compliance policy and procedures
- Arrange compliance training relevant to client requirements

Compliance
- Provide advice and assistance on applicable regulatory and legal requirements and obligations to the Mirabella Group
- Assist the CCO and Senior Management with regulatory matters affecting the Mirabella Group and its stakeholders
- Assist as required in in regulatory projects and/or implementations

**To qualify for the role you must have**:

- Around 3-5 years relevant experience working in-house at an FCA regulated firm or in a compliance consulting role
- Confident and strong character, assertive and able to stand their ground when challenged
- Experience of the relevant regulatory environments (including but not limited to AIFMD, MiFID, CFTC/NFA, SEC, and MFSA or European Regulation) and willingness to learn others that may be implemented in the future
- Team-orientated and able to collaborate well with others
- Ability to manage multiple workflows as required

**Skills and attributes for success**:

- Demonstrated professional integrity
- Dependable, adaptable, and flexible to meet business and/or client requirements
- Highly motivated, and able to exercise discretion and make independent judgments
- Ability to work in a fast-paced small team environment
- Ability to establish and maintain effective working relationships with all stakeholders, both internal and external
- Dedicated to upholding ACA’s high-quality standards and customer service focus
- Strong organizational and problem-solving skills with attention to detail
- Strong oral and written communication skills

**What working at ACA Mirabella offers**:
We offer a competitive compensation package where you’ll be rewarded based on your performance and recognized for the value you bring to our business which includes:
Discretionary Bonus

26 days annual leave plus additional work anniversary recognition

Pension Plan Employer Contribution

Private Medical Insurance

Health Expenses Cash Plan

Group Life Assurance

Group Income Protection

Subsidised Corporate Gym Membership

Season Ticket Loan

Employee Assistance Programme

Maternity and Fertility Support

Wellness Support

**About ACA Group**:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our

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