Join a successful and award-winning boutique investment firm and make a real difference.
We seek a Compliance and Operations Oversight Specialist to join the team at a small but successful investment firm. They have been recognised for their excellence in the industry, winning several awards for their investment strategies.
The ideal candidate will have:
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Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK.
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Exceptional organisational and multitasking skills to manage multiple responsibilities and meet deadlines.
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Effective communication skills for collaboration with internal teams and external stakeholders.
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Team player with the ability to work both independently and collaboratively in a team-oriented environment.
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Professional demeanour, unwavering integrity, and a commitment to confidentiality.
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Desirable: Operational experience in discretionary investment management.
In this role, you will:
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Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures.
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Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues.
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Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK.
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Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities.
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Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements.
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Develop management reports and prepare vital information for the Board and key governance committees as required.
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Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance.
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Assisting in responding to due diligence questionnaires and information requests from third parties.
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Take a lead role in fostering an effective compliance culture within the organisation.
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Staying updated on industry developments, best practices, and regulatory changes in the UK. Actively seeking opportunities for knowledge enhancement through training and professional development.
This is a challenging and rewarding opportunity to make a real difference in a successful and award-winning boutique investment firm. If you are a compliance professional who is looking to make a meaningful impact, we would love to hear from you!
