SMCR Project Lead (12 month FTC)

THE COMPANY:

Our client is a successful investment platform based in the City.  They are looking to hire an SMCR Project Lead on a 12 month FTC basis.

THE RESPONSIBILITIES:

• Conduct a thorough review of the list of certified staff.
• Utilise review findings to advise on compliance with the approach to the Certification Regime.
• Review and update the SMCR project plan in conjunction with the Compliance Manager, Regulatory Relations.
• Manage various stakeholders across Compliance, HR and Training among other business areas to ensure understanding of SMC responsibilities.
• Produce clear documentation relating to SMCR policy and procedure.
• Utilise specialist knowledge to advise on best practice within the SMCR space.
• Conduct further research around current regulations and produce clear guidance based on this.
• Ensure SMCR related controls, risk and issues are effectively managed.
• Ensure any gaps identified are adequately addressed and controls are strengthened.
• Embed new and current SMCR procedures within the business.
• Ensure reasonable steps are taken to help the Group understand and comply with the relevant requirements and standards of the regulatory system, in particular regarding the SMCR.
• Support BAU work such as reporting, record retention and handling ad-hoc business queries relating to SMCR.

EXPERIENCE REQUIRED:

• Experience of working with SMCR in either a Compliance or HR capacity.
• Good understanding of the Financial Services Industry.
• Good understanding of retail financial products including ISAs and Pensions.
• Strong Excel, Word and Powerpoint skills.
• Experience in drafting policies and procedures.
• Previous experience of working in a financial services compliance, HR or legal team.

For further information please contact Duncan Jeffery