OBJECTIVE & ROLE
To work within the Compliance Team to support and enhance the Compliance monitoring programme. To ensure the Company and its third party Managed Fund entities has and maintains a comprehensive and effective system to monitor and report on matters relating to compliance, internal risk, regulation, legislation and control.
Support the Compliance Officer, Deputy Compliance Officer, Senior Management and Operational staff by providing Compliance advice and guidance. Act as named person responsible for Compliance for the Companies third party Managed Fund entities. Develop and roll out enhancements to the Compliance Monitoring Programme together with updates to policies and procedures as required.
* To act as a senior member of the Compliance Team and in conjunction with the Deputy Compliance Officer in their absence.
* To act as a Managed Licensee Compliance Officer.
* Attend Managed Licensees and Fund Entity Board meetings.
* Provide and present Compliance & MLRO reports as required.
* Monitor, review and report on regulatory breaches and complaints handling.
* Provide support at a senior level to the business.
* In conjunction with the Compliance administrator enhance, undertake and sign off compliance monitoring activity for the company and the client Licensee boards.
* Collate the Companies and Managed Licensees Annual Compliance returns.
* Review regulatory announcements and assist with communicating these to the business as appropriate.
* Ability to assess business requests accurately and promptly.
* Experienced in relevant regulatory laws, regulations and guidance.
* Deliver pragmatic solutions to Compliance related issues.
* Attention to detail.
* Planning and Control.
* Communication and influencing.
* Strong interpersonal skills and relationship management.