Overview
This role is to help with the day to day running of the Compliance operations, working closely with the Head of Compliance, and other team members, to ensure the Compliance department is run efficiently, all tasks are completed in a timely manner and team projects are kept on track.
Responsibilities
- Lead the delivery and management of day-to-day compliance activities.
- To provide day-to-day compliance support and advice to management, staff, and external parties within the Compliance Advisory team
- Assisting the Compliance team with the application, maintenance and evaluation of the compliance policies and procedures;
- Promoting awareness of regulatory principles and requirements and provide support for their implementation;
- Assisting the Compliance team with providing advice, training and guidance to the business on regulatory matters;
- Providing assistance in the resolution of Risk Events identified within the company
- Assisting the Compliance team with monitoring outside regulatory developments and proactively sharing;
Experience and Knowledge
- Strong Compliance background working within Investment Management/ Financial Planning
- Strong understanding of relevant UK regulatory requirements.
- Ability to keep up-to-date with current and future regulatory changes that affect the firm’s business and informing relevant teams of the same.
- Adheres to the ethical standards of behaviour and code of conduct issued by the FCA under the Senior Managers Regime.
- Ability to challenge in a constructive way, and influence others to deliver processes and solutions in line with regulatory and best practice requirements.
