Regulatory Compliance Specialist

1 month ago

London, Greater London, United Kingdom Compliance Professionals Full time
About the Role

We are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.

Job Summary

The ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and Operational Risk and how these are embedded within a business is essential.

Key Responsibilities
  • Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place to ensure compliance with those requirements.
  • Make written recommendations for improvement to the company's policies and procedures as appropriate to ensure continued compliance;
  • Provide an overview of regulatory changes as necessary.
  • Provide ad-hoc compliance advice, support and guidance
  • Responding to compliance queries from the business and assisting in the resolution of issues;
  • Assessing new investments into funds and reviewing suitability documentation (as per Investment Restrictions) carried out by fund managers when required;
  • Monitoring and reviewing Fund regulations and restrictions on investments
  • Acting as the point of contact for regulatory investment restrictions and the operation.
  • Setting up and monitoring of relevant compliance rules within Bloomberg AIM and other relevant Operational/Portfolio Management Systems.
  • Maintain appropriate registers including Regulatory Rule Breaches, Conflicts of Interest, Risk Assessments etc.
  • Assist in the review of relevant policies and procedures to ensure compliance with FCA rule changes.
  • Participate and lead projects as and when they arise, ensuring appropriate engagements and consistency across the Business.
  • Carry out analysis of relevant regulatory Breaches and assist in dealing with Complaints, when required.
  • Ensure that appropriate controls are in place to mitigate the risk of Financial Crime, including anti-money laundering, corporate offence of facilitating tax evasion, fraud, bribery and corruption, insider dealing, market abuse and information security.
  • Work closely with relevant Fund Management teams supporting our Best Execution framework and making sure that all relevant alerts and reports are properly investigated.
  • Review and approve financial promotion material relating to , ensuring all documentation meets current regulatory requirements and is consistent across the product base;
  • Assist Fund Managers and Head of Compliance in keeping product governance documentation up to date.
  • Regulatory Returns
  • Senior Managers & Certification Regime (SM&CR)
Requirements
  • Ideally a degree and/or Professional Compliance/Regulatory Qualification is preferential e.g. Diploma in Compliance and/or Diploma in Financial Planning.
  • At least 5 years' experience in Compliance or Operations within financial services (in-house or consultancy) preferably fund management and/or discretionary management environment.
  • Regulatory change experience would be an advantage.
  • An understanding of the regulatory environment, particularly FCA systems & controls and conduct of business regulation.
  • Strong appreciation of Compliance and Operational Risk and how these are embedded within a business.
Compensation Package

We offer a competitive salary of £60,000 - £80,000 per annum, depending on experience.

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