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Compliance Specialist

1 month ago

Birmingham UK, West Midlands, United Kingdom Margetts Fund Management Ltd Full time

The Company

We are a financial services business, specifically an investment manager and an Authorised Corporate Director (ACD) to several ranges of regulated retail funds totalling over £9Bn. The funds managed include multi-manager, direct equity, mixed investments, derivatives and property.


An ACD is authorised by the Financial Conduct Authority to establish and manage Collective Investment Schemes (Funds).


The responsibilities of an ACD include maintaining a register of investors, including the settlement of client money, arranging safe custody and valuing the assets held by funds in order to create buying and selling prices of the funds.Margetts focusses on retail investors and also provides fund management to several ranges of Multi Manager funds.


We currently employ 70+ members of staff across 6 departments.


Company Values

We will add value

We will be kind

We will fight for what is right

We will be smart

We will enjoy what we do


Strategic Objectives

One of our Firm Strategic Objectives is to ensure the business embraces regulatory principles and rules. This role, as part of the Compliance, Audit & Legal function, is key to supporting all business operations in meeting this strategic objective, whilst also assisting the firm in providing investment products which meet or exceed investor expectations and growing the business through organic growth and product range enhancements. Compliance works alongside our operational colleagues to support their delivery of investor-focussed, compliant business through clear, relevant advice and robust, thorough oversight.


The Role

The Compliance Specialist will report to the Head of Audit & Compliance and will undertake compliance/related projects and tasks across all the firm’s departments. The Audit & Compliance function delivers independent oversight and assurance, as well as advice in relation to FCA regulation and the effective design and operation of the control environment of the Firm. Our second and third lines of defence operate under one mandate and are hierarchically separate from the rest of the business.


The role of the Compliance Specialist will be to support the Compliance function in the delivery of the following requirements:


  • Compliance Monitoring Plan: The Compliance Monitoring Plan is the main tool to map how Compliance monitors the Firm and to test and assure that the Firm is meeting all regulatory requirements, including the FCA’s Threshold Conditions.
  • Compliance Events: All incidents, errors and breaches are logged by the Firm and monitored by Compliance. Compliance investigates logged issues to ensure that problems have been considered, controls are in place to mitigate risks and that there is appropriate redress.
  • Regulatory change: Compliance is responsible for identifying, analysing, communicating, and overseeing the implementation of relevant regulatory change.
  • Outsourcing / Delegation of Investment Management: Compliance is responsible for ensuring that outsourced and delegated investment management relationships are adequately monitored and overseen, and that any such third parties adhere to all relevant, delegated regulatory requirements.


What are we looking for?

You will be expected to:

  • Understand regulatory requirements affecting Margetts specifically and financial services in general.
  • Maintain the relevant department documentation
  • Maintain awareness of product changes and scheme launches
  • Maintain personal training and competency as appropriate
  • Maintain company systems for own tasks
  • Contribute to the team monitoring through KPIs and other MI
  • develop your skills through structured continual professional development including workshops, training and qualifications.


Skills and characteristics:

  • the ability to use your own initiative
  • analytical thinking and attention to detail
  • the ability to work effectively on your own and as part of a team
  • strong ethical standards and high levels of integrity
  • the ability to think objectively and demonstrate sound judgement
  • strong communication skills, both written and verbal
  • organisation and facilitation skills
  • resilience under pressure
  • flexible thinking and ability to adapt to change.


Previous experience and qualities:

  • It is important that you have practical experience of compliance monitoring or risk and/or control activities. Whilst experience in the asset management sector is preferred, candidates with relevant experience in other financial sectors will be considered.
  • You will have a strong understanding of the relevant regulatory environment.
  • You will have robust attention to detail and excellent communication skills, with the ability to present findings to stakeholders across the business.
  • You will welcome challenge, looking to cope with a variety of changing tasks and responsibilities.
  • You will need to be self-motivated to research, use resources and learn.
  • You should be comfortable with questioning assumptions and challenging the status quo. You should be able to think logically, practically and be confident in your ability to understand regulatory requirements and processes.


Reporting Lines

You will report to the Head of Audit & Compliance.


We are committed to ensuring that everyone feels accepted and welcome applicants from all backgrounds.

If you require any adjustments to the recruitment process, please let us know so we can help you to be at your best.