Qualifications
- Can-do mentality and client focus
- Awareness of risk management and compliance oversight over business activities
- Understanding of a broad range of compliance and regulatory topics
- Relationship building with internal and external stakeholders
- Project management
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Attention to detail
- Strong and clear communication – verbal and written
- Focus on quality
- Organisation
- Proactivity
- Resilience
- Time management
- Willingness to learn
- Ideally educated to degree level
- 3 years broad based experience in a compliance role in a financial services firm, ideally a fund or asset manager
- Good understanding of FCA regulatory requirements on investment businesses
- Able to interpret complex regulatory standards and turn them into policies, processes or procedures that can be implemented in the business
- Familiarity with the client communications and financial promotions regime would be a benefit
- Used to working in a client facing role with focus on quality and hitting deadlines
- Good writing style; excellent standard of English
- Good project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management
- Used to working within a team environment with a shared commitment to reaching goals
Company description
The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives (“ARs”) and our directly regulated businesses.. This may be associated with regular tasks such as reviewing client communications, or with providing advice on regulatory topics and business activities.
Particular expertise in the client communications regime and a good understanding of what constitutes regulated activity would be beneficial.
