Senior Compliance Officer
2 weeks ago
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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