Our client is a privately owned investment manager based in West Sussex.
Perform compliance monitoring on our delegates which will predominantly be desk-based but will also involve due diligence visits (mainly London).
Provide timely governance reporting into committees/Board using the format and on the frequency specified.
Participate in audit reviews performed by third parties (e.g. Depositaries/Trustees) and other external meetings where required.
Assist in the breach management and complaints process to ensure that any investor impact is identified and promptly resolved, appropriate root cause analysis is undertaken, any regulatory breaches are correctly identified and logged and that effective preventative measures are implemented (where possible).
Assist with regulatory reporting as required by Group Compliance and Risk.
Review fund related literature (e.g. Factsheets, KIIDs and investor circulars) to ensure material is compliant.
Maintain knowledge of our existing and potential relationships.
Maintain knowledge of regulatory change through the review of bulletins, completion of CISI professional refreshers and attendance at meetings, workshops and conferences.
Participate in projects driven by regulatory or operational change and provide suggestions for system and control enhancement.
Ensure that team procedures are kept updated following any process amendments.
Review fund project material and attend project calls and visits where required.
Proven financial services experience from working for or with an Authorised Fund Manager or delegate (e.g. Transfer Agent, Fund Administrator) in an investment management environment and have a good understanding of FCA regulatory requirements.
An industry qualification (e.g. Investment Operations Certificate) is preferable and they should be prepared to gain further relevant qualifications.
Able to interpret and explain complicated matters in plain language.
Keen to learn, understand processes and not afraid to challenge.
Able to pick tasks up quickly and follow instruction.
For further information please contact Ben Greasby