Regulatory Compliance Specialist

3 weeks ago

London, Greater London, United Kingdom Compliance Professionals Full time
Position Overview

ABOUT THE ORGANIZATION:

Compliance Professionals is a dedicated firm specializing in compliance solutions for investment management, overseeing assets totaling over £18 billion.

KEY RESPONSIBILITIES:

  • Continuously assess and improve the Compliance Monitoring Framework, collaborating with management and department heads on compliance controls.
  • Conduct daily compliance oversight and perform regular compliance assessments across various locations; generate reports for the Compliance team.
  • Evaluate marketing materials in accordance with FCA COBS regulations and other relevant jurisdictions where funds are registered (including EU, US, and global markets).
  • Oversee trading activities, monitor for market abuse, and manage long/short disclosures on an international scale.
  • Ensure that compliance policies, procedures, and standards are revised in response to regulatory updates, effectively communicated, comprehended, and properly executed within the organization; provide training as necessary.
  • Establish and nurture strong relationships with U.K. personnel, offering sound advice on compliance issues; escalate matters to the Head of Compliance or Chief Compliance Officer as needed.
  • Track modifications to U.K. and international legislation and regulations impacting the firm's operations, advising management and staff on the consequences of these changes.
  • Coordinate and engage in regulatory audits as required.
  • Review and validate KYC documentation for accuracy and completeness.
  • Maintain comprehensive records of personal transactions, gifts, entertainment requests, and potential conflicts of interest.
  • Assist in the timely preparation of regulatory submissions to the FCA.

QUALIFICATIONS:

  • A minimum of 2 years of experience in the investment management sector (or a related field) in a compliance or operational risk capacity.
  • Experience with financial promotions is essential.
  • Proactive individual with a strong focus on execution and the ability to work autonomously as well as collaboratively.
  • Strong business insight to identify and address compliance risks throughout the organization.
  • Exceptional attention to detail.
  • Excellent organizational and communication skills, both written and verbal.

This position offers an opportunity to contribute significantly to the compliance landscape within a leading investment management firm.

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