Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Executive on a permanent basis.
THE RESPONSIBILITIES:
Undertaking detailed thematic Compliance Monitoring reviews, reporting on findings and recommendations and tracking actions to resolution
Working with the Compliance Manager to review and provide guidance on marketing and financial promotions, acting as an escalation point for queries across the business
Oversight of breaches, errors and complaints, working with the Client Operations team.
Oversight of internal incidents, working with other members of the Compliance team
Working with the Chair of the Consumer Duty Committee and Consumer Duty outcome owners to ensure outcomes are met and there is appropriate MI and oversight in place.
Acting as a Vulnerable Customer Champion, alongside members of Client Operations and Marketing
To manage the Compliance FCA (and others such as SEC) regulatory returns
Attend outsourced function service review meetings and undertake annual monitoring reviews
To manage the Compliance responsibilities for the provision of data/information for timetabled and ad-hoc RFPs and DDQs.
Preparation of Committee reports as required
Review and update Compliance policies and procedures as required
Responsible, along with the rest of the Compliance team, for completing the daily, weekly and monthly regular compliance tasks.
EXPERIENCE REQUIRED:
Experience in completing Compliance Monitoring or audit style reviews required
Knowledge of Consumer Duty would be beneficial
Experience in incident and complaint reporting would be beneficial
Knowledge/experience of other responsibilities listed would be beneficial
Detailed knowledge of the UK regulatory environment
Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
A good understanding of the FCA’s Senior Managers and Certification Regime and how it applies to the role
For further information please contact Duncan Jeffery
