Our client is an award-winning investment manager, providing Real Estate funding, Private Equity and is a leading provider of growth capital. They also run an Equities fund.
THE RESPONSIBILITIES:
Act as ambassador for the Compliance Department, promoting its highly regarded reputation and developing its function as a critical business area with a strong focus on service and relationship management across the business.
Keeping abreast of regulatory developments to consider the impact on the business.
Working closely with Compliance team members to coordinate team activities and workstreams (including Compliance policies/procedures updates)
Assist with the execution of the Compliance Monitoring Programme (including monitoring of PA Dealing, G&E, Emails, Calls, and Outside Interests.)
Responsible for maintenance of logs/registers (including FCA interactions, Breaches, Complaints, High Risk Register etc.)
Assisting with the maintenance of the Central Compliance System (currently My Compliance Office (“MCO”), including the coordination of compliance uploads and inputs to the system.
Completing data collection for regulatory returns and information requests and assisting with the associated submissions.
Own and maintain the compliance monthly monitoring dashboard and quarterly Consumer Duty dashboard.
Act as the first line response to assist in answering day to day Compliance, regulatory and financial crime related queries.
Investigate initial on-boarding results from Compliance AML electronic verification systems (currently Smartsearch & Dow Jones) and monitor alerts that result from ongoing screening (PEPs/Sanctions/High Risk Flags etc).
Assist with on-going CDD monitoring of existing relationships Training/Staff/SMCR
Reviewing, editing and issuing eLearning training modules utilising the online training portal (currently Skillcast).
Analysis of compliance training data, feedback and creation of MI reports.
Interacting with the wider business to ensure staff complete Compliance related requests.
Working in conjunction with the People team to manage joiners, leavers and transfers (JLT) and related processes from a Compliance perspective including coordinating the Certified Persons/Senior Managers filings under SMCR
EXPERIENCE REQUIRED:
Experience in a Compliance/Financial Crime function within an FCA regulated entity
Previous exposure to Compliance Frameworks – strong experience of Compliance Monitoring highly desirable.
Relevant experience of compliance processes including logs/registers, regulatory filings, verification systems, centralised compliance monitoring systems, and online training portals.
Must be able to work with, and analyse, large volumes of data to uncover useful insights. Excel and PowerBI proficiency is preferred.
Strong interest in the investment management industry and its applicable regulations.
Passion to increase regulatory knowledge and develop as a generalist Compliance professional.
For further information please contact Duncan Jeffery
