Senior Compliance Officer

2 days ago


London, UK, United Kingdom Q Networkers Ltd Full time

Senior Risk & Compliance Officer (Investment Management) - 12 Month Contract - £70k - £80k


Role and responsibilities


To provide compliance advice and guidance to business stakeholders to facilitate delivery of (a) good client outcomes, (b) a compliant and risk aware culture and (c) the Group’s business model and strategy.



Key Responsibilities


Compliance Monitoring:

  • Support the design and delivery of a risk focused Compliance Monitoring Plan, working with the wider Risk and Compliance team.
  • Lead the completion of thematic reviews in accordance with the annual compliance monitoring plan, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
  • Prepare and deliver close-out briefings to wider risk and compliance team and senior management which summarise the findings of assurance activity.
  • Draft high quality reports which outline the findings of assurance activity.
  • Track the resolution of issues identified and action points agreed, and provide timely escalation to line management where (open) issues / actions are at risk of missing their target completion date.
  • Lead ad hoc project work that may occur throughout the course of business.
  • Lead Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
  • Support the continuous improvement of First Line of Defence risk identification and mitigation by reference to Compliance Assurance findings.
  • Support the design, implementation and operationalisation of a risk focused Surveillance Framework.


Advice:

  • Lead the provision of high quality and timely advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
  • Lead the response to general queries raised by business stakeholders on the FCA Handbook and compliance related policies and procedures.
  • Lead ad hoc regulatory projects as directed by Risk and Compliance line management.
  • Lead the review of regulatory publications and interaction with trade bodies on specific topics.
  • Lead the production of regulatory training materials.
  • Contribute to the delivery of F2F compliance related training sessions.
  • Produce forward looking and insightful updates on material regulatory issues for inclusion in management reporting.


Breaches and Incidents:

  • Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.


General:

  • Support the Risk and Compliance department to maintain up-to-date departmental procedures.
  • Support the coaching and development of more junior members of the Risk and Compliance department.
  • Collaborate with colleagues from across the business to support the embedding of a client and risk focused culture across the Group.
  • Identify and propose improvements to the control environment to support the consistent delivery of good client outcomes.
  • Board report preparation and reporting.
  • Consumer Duty Lead
  • FCA and HMRC Regulatory reporting


Key skills and experience


  • Detailed knowledge and understanding of relevant regulatory requirements, including FSMA, FCA sourcebooks, LSE Rulebook, AIFMD, UCITS and EMIR
  • Experience of wealth management, fund management, suitability and good client outcomes preferred.
  • Strong inter-personal skills, judgement and decision-making ability, and a determined and proactive approach
  • Experience of financial promotions rules, NRRS, SIS and Retail products
  • Understanding of fund operations, settlement cycles and trading
  • At least 5 years of experience in a regulated company


Professional Qualifications and Education

  • Educated to Degree level or equivalent experience
  • Relevant regulatory qualifications an advantage


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