Our client is an international investment advisor, with around $7 trillion in global assets under management.
THE RESPONSIBILITIES:
Oversee the design, implementation, execution, and maintenance of compliance policies and procedures. Support the development of new compliance standards. Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
Manages regulatory visits and inspections. Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
Identifies and implements corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance.
Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
Follows approved investigation procedures and reports on corrective actions.
Maintains a deep knowledge and awareness of the investment industry with particular focus on retail products (ISAs, SIPPs, etc..). Stays abreast of current market, regulatory (FCA and HMRC) and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.
EXPERIENCE REQUIRED:
Minimum of five years related work experience, with at least two years within a financial services compliance function desirable.
Ability to stay on top of compliance policies and advise senior management and other stakeholders.
Strong written and oral communication skills
Attention to detail and commitment to high quality and timely delivery.
Ability to work with a high degree of autonomy and show initiative.
For further information please contact Duncan Jeffery
