The main responsibilities of the role are as follows:
- Monitoring of the firms' compliance with relevant regulatory and ethical requirements through the day to day compliance control framework. Investigate, record and respond to client complaints in line with the firms' Complaints Policy.
- Assist Senior Compliance Officer with Thinkfolio and front office day to day monitoring, including assistance with dealing tests.
- Provide guidance and assistance to the business with regards to electronic portfolio monitoring PTA Systems
- Responsible for the oversight of investment mandates to ensure that all investment restrictions are adhered to.
- Develop trend analysis on all breaches and errors within the firms' business and recommend controls / mitigation actions to ensure the firm and its key third party service providers maintain a robust control environment.
- Responsible for interaction with service providers and Trustees on pricing errors and ensuring that such pricing errors are escalated within the firm appropriately
- Ensuring that financial promotions within the firm are clear, fair and not misleading and comply with all required regulations for the specified audience in the target market (taking into account all conduct risk and TCF issues).
- Responsible for the oversight and sign-off of KIIDs.
- Assist with the implementation of the firms' regulatory forum, including reviewing regulatory change and disseminating regulatory change through the business.
In order to be considered for this position the ideal candidate should have the following:
- Familiarity with the FCA, CBI, SEC and UCITS regulations
- Basic understanding of global distribution markets.
In exchange for the above the client is offering a competitive remunuration package and the opportunity to join an industry leading and award winning organisation.