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Regulatory Compliance Officer

2 months ago

Birmingham, Birmingham, United Kingdom Margetts Fund Management Ltd Full time
Position Overview

About the Organization

Margetts Fund Management Ltd is a prominent player in the financial services sector, specializing in investment management and serving as an Authorised Corporate Director (ACD) for a diverse array of regulated retail funds exceeding £9 billion in assets. Our portfolio encompasses multi-manager strategies, direct equity investments, mixed asset classes, derivatives, and real estate.

As an ACD, we are sanctioned by the Financial Conduct Authority (FCA) to establish and oversee Collective Investment Schemes (Funds).

The responsibilities of an ACD include maintaining a comprehensive register of investors, managing client funds, ensuring secure custody, and accurately valuing the assets held within the funds to facilitate the buying and selling processes. Margetts is dedicated to serving retail investors and offers fund management services across various Multi Manager fund ranges.

Our team comprises over 70 skilled professionals distributed across six distinct departments.

Core Values

We are committed to:

  • Delivering value
  • Practicing kindness
  • Advocating for integrity
  • Employing intelligence
  • Finding joy in our work

Strategic Goals

A key strategic goal of our firm is to ensure adherence to regulatory principles and standards. This position, within the Compliance, Audit & Legal division, plays a crucial role in supporting all operational activities to meet this objective, while also aiding the firm in offering investment products that meet or exceed client expectations and expanding the business through organic growth and enhancements to our product offerings. The Compliance team collaborates closely with operational colleagues to ensure the delivery of investor-focused, compliant services through clear guidance and thorough oversight.

Role Responsibilities

The Regulatory Compliance Officer will report directly to the Head of Audit & Compliance and will engage in compliance-related projects and tasks across all departments within the firm. The Audit & Compliance function provides independent oversight and assurance, along with advisory support regarding FCA regulations and the effective design and operation of the firm's control environment. Our second and third lines of defense operate under a unified mandate and are distinct from the rest of the organization.

The primary responsibilities of the Regulatory Compliance Officer include:

  • Compliance Monitoring Framework: This framework serves as the principal tool for mapping how Compliance oversees the firm and ensures adherence to all regulatory requirements, including the FCA's Threshold Conditions.
  • Incident Management: All incidents, errors, and breaches are documented and monitored by Compliance. The team investigates these issues to ensure that they are addressed, appropriate controls are implemented to mitigate risks, and suitable remedies are provided.
  • Regulatory Adaptation: Compliance is tasked with identifying, analyzing, communicating, and overseeing the implementation of relevant regulatory changes.
  • Oversight of Outsourced Services: Compliance ensures that outsourced and delegated investment management relationships are adequately monitored and that all third parties comply with relevant regulatory obligations.

Candidate Profile

We seek individuals who can:

  • Comprehend regulatory requirements pertinent to Margetts and the broader financial services landscape.
  • Maintain accurate documentation within the relevant department.
  • Stay informed about product modifications and scheme introductions.
  • Ensure personal training and competency are up to date.
  • Utilize company systems effectively for assigned tasks.
  • Contribute to team monitoring through key performance indicators and other management information.
  • Enhance their skills through structured professional development, including workshops, training, and qualifications.

Essential Skills and Attributes

  • Ability to take initiative
  • Analytical mindset with a keen attention to detail
  • Capability to work independently and collaboratively
  • Strong ethical standards and integrity
  • Objective thinking and sound judgment
  • Excellent written and verbal communication skills
  • Organizational and facilitation abilities
  • Resilience in high-pressure situations
  • Adaptability and flexible thinking

Experience and Qualifications

  • Practical experience in compliance monitoring or risk and control activities is essential. While experience in asset management is preferred, candidates with relevant experience in other financial sectors will also be considered.
  • A solid understanding of the regulatory environment is required.
  • Exceptional attention to detail and communication skills, with the ability to present findings to stakeholders across the organization.
  • A willingness to embrace challenges and manage a variety of tasks and responsibilities.
  • Self-motivation to research, utilize resources, and learn continuously.
  • Comfort with questioning assumptions and challenging the status quo, along with the ability to think logically and practically regarding regulatory requirements and processes.

Reporting Structure

This position reports to the Head of Audit & Compliance.

Margetts Fund Management Ltd is dedicated to fostering an inclusive environment and welcomes applicants from diverse backgrounds.

If you require any adjustments to the recruitment process, please inform us so we can assist you in performing at your best.