Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.
UCITs / Institutional Asset Management experience is required for this role.
THE RESPONSIBILITIES:
Develop, implement and maintain robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, internal guideline and in conjunction with the Group GRC Director.
Providing regulatory advice and guidance to all parts of the division including the board/senior management
Manage a small team, provide coaching and mentorship to junior team members.
Ensuring effective implementation of anti-money laundering and counter-terrorism financing (AML/CTF) measures.
Oversee regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
Stay up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
Develop, review, and maintain Compliance policies, procedures and information to the business, covering all core regulatory and legislative requirements.
Providing advice and guidance to Group Compliance to assist them in embedding appropriate training and development to maintain ongoing competence in all areas.
Feed into the Group thematic monitoring plan.
Review and approve marketing material and presentations and assist
Work in partnership with senior stakeholders across the pillar and wider business to implement and embed an appropriate culture that promotes an understanding and knowledge of regulation.
Oversee regulatory returns submissions to all relevant authorities with particular emphasis on FCA returns..
Contact point for compliance related queries by the ACD and ManCo
Assist in the Compliance due diligence process for ACD’s and ManCo’s.
Monitoring, recording, and dealing with complaints against the regulated firm(s).
Drafting and maintaining corporate governance documents in conjunction with Group policies.
Have a good knowledge of topical and relevant regulatory regimes such as, but not limited to, MiFID 2, Consumer Duty, UCITS, ICAV, GDPR, SMCR and Consumer Duty regulations.
Performing and supporting work relating to one-off compliance and regulatory projects, as these arise from time-to-time.
To carry out other duties as may reasonably be required.
EXPERIENCE REQUIRED:
At least 5 years’ experience in a similar post in compliance within the financial services wealth sector
Demonstrated experience in developing and implementing compliance programs, policies, and procedures.
Diploma (or equivalent) qualification in compliance, regulation and/or AML and Financial Crime
Exceptional communication and interpersonal skills, with the ability to effectively collaborate with stakeholders at all levels.
Strong analytical and problem-solving skills with the ability to assess complex situations and make sound decisions.
Excellent time management skills
For further information please contact Duncan Jeffery
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