Compliance & Legal
|Salary:||£60000 - £65000 per annum|
|Job Published:||about 5 years ago|
£60,000 - £65,000
A leading multi-family office, headquartered in London, operating in multiple jurisdictions. The organisation provides both discretionary and advisory services to UHNW Individuals and Charities. Operating on an open architecture platform this firm is independently owned.
A meritocracy this firm has a collegiate and open atmosphere operating under a flat management structure.
- Reporting to the Head of Compliance
- Promote and develop robust operating controls across the business
Responsible for adhering to the operating procedures of the business as written and providing enhancements and changes to the procedures as and when identified. It is essential that any such changes are properly documented.
- Perform compliance monitoring and surveillance across the UK Group and work with the team to execute the compliance monitoring programme
Perform compliance monitoring and external due diligence programmes as part of the overall risk management framework.
Execute, co-ordinate and prioritise routine monitoring as well as thematic and desk reviews.
Provide effective and timely compliance and monitoring management information.
Reviewing and approving client account and trade activity from a suitability perspective.
- To monitor and analyse compliance information for the UK regulated businesses and to assess how it meets relevant FCA regulations
Review of financial promotions and other material to ensure compliance with regulations.
Managing regular reviews of fund literature and performing compliance oversight functions
- Support on-going Risk & Compliance projects and develop sector specialisms as required
Assisting to manage the Approved Persons processes.
Ensuring that areas of risk are identified and dealt with in a timely manner.
Identification of regulatory and operational risks and provision of support and advice to manage implementation of new or enhanced controls for new services and products.
- Working and supporting the UK Risk and Compliance team to cover regulatory change in the UK and its impact on overseas offices
Assisting with regulatory training across the UK Group.
Assist in the preparation and filing of regulatory reports and related administrative responsibilities.
- Provide product related compliance advice and support for the UK regulated businesses
What they are looking for
- Professional qualifications
- Degree educated
- Experience of producing or advising on financial promotions
- Good knowledge of FCA and European regulations, specifically COBS, SYSC and COLL
- Understanding of financial markets, investment vehicles and client servicing standards
- Relevant industry experience, preferably in an asset management or family office environment
- Experience of conducting trade surveillance or equivalent monitoring activity
- Aptitude for evaluating the business implications of the regulatory rules
- Team player with a proactive attitude
- Strong interpersonal skills with ability to communicate effectively across levels of seniority
- Excellent written and verbal communication skills
- Used to working under pressure and to tight deadlines
- A problem solver with a can do attitude
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