Key Responsibilities Compliance Monitoring: Support the design and delivery of a risk focused Compliance Monitoring Plan, working with the wider Risk and Compliance team.
Lead the completion of thematic reviews in accordance with the annual compliance monitoring plan, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
Prepare and deliver close-out briefings to wider risk and compliance team and senior management which summarise the findings of assurance activity.
Draft high quality reports which outline the findings of assurance activity.
Track the resolution of issues identified and action points agreed, and provide timely escalation to line management where (open) issues / actions are at risk of missing their target completion date.
Lead ad hoc project work that may occur throughout the course of business.
Lead Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
Support the continuous improvement of First Line of Defence risk identification and mitigation by reference to Compliance Assurance findings.
Support the design, implementation and operationalisation of a risk focused Surveillance Framework.
Advice: Lead the provision of high quality and timely advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
Lead the response to general queries raised by business stakeholders on the FCA Handbook and compliance related policies and procedures.
Lead ad hoc regulatory projects as directed by Risk and Compliance line management.
Lead the review of regulatory publications and interaction with trade bodies on specific topics.
Lead the production of regulatory training materials.
Contribute to the delivery of F2F compliance related training sessions.
Produce forward looking and insightful updates on material regulatory issues for inclusion in management reporting.
Breaches and Incidents: Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
General: Support the Risk and Compliance department to maintain up-to-date departmental procedures.
Support the coaching and development of more junior members of the Risk and Compliance department.
Collaborate with colleagues from across the business to support the embedding of a client and risk focused culture across the Group.
Identify and propose improvements to the control environment to support the consistent delivery of good client outcomes.
Board report preparation and reporting.
Consumer Duty Lead FCA and HMRC Regulatory reporting Key skills and experience Detailed knowledge and understanding of relevant regulatory requirements, including FSMA, FCA sourcebooks, LSE Rulebook, AIFMD, UCITS and EMIR Experience of wealth management, fund management, suitability and good client outcomes preferred.
Strong inter-personal skills, judgement and decision-making ability, and a determined and proactive approach Experience of financial promotions rules, NRRS, SIS and Retail products Understanding of fund operations, settlement cycles and trading At least 5 years of experience in a regulated company Professional Qualifications and Education Educated to Degree level or equivalent experience Relevant regulatory qualifications an advantage