Our client, a highly successful Investment Management firm, are looking for a Compliance Officer to join the business. This role, reporting to the Head of Compliance, will undertake compliance/related projects and tasks across all the firm's departments. The Compliance function delivers independent oversight and assurance, as well as advice in relation to FCA regulation and the effective design and operation of the control environment of the firm.
Key Responsibilities:
The role of the Compliance Officer will be to support the Compliance function in the delivery of the following requirements:
- Compliance Monitoring Plan: The Compliance Monitoring Plan is the main tool to map how Compliance monitors the Firm and to test and assure that the Firm is meeting all regulatory requirements, including the FCA's Threshold Conditions.
- Compliance Events: All incidents, errors and breaches are logged by the Firm and monitored by Compliance. Compliance investigates logged issues to ensure that problems have been considered, controls are in place to mitigate risks and that there is appropriate redress.
- Regulatory change: Compliance is responsible for identifying, analysing, communicating, and overseeing the implementation of relevant regulatory change.
- Outsourcing / Delegation of Investment Management: Compliance is responsible for ensuring that outsourced and delegated investment management relationships are adequately monitored and overseen, and that any such third parties adhere to all relevant, delegated regulatory requirements.
Experience Required:
- It is important that you have practical experience of compliance monitoring or risk and/or control activities. Whilst experience in the asset management sector is preferred, candidates with relevant experience in other financial sectors will be considered.
- You will have a strong understanding of the relevant regulatory environment.
- Understand regulatory requirements affecting financial services in general.