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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:
Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK.
Exceptional organisational and multitasking skills to manage multiple responsibilities and meet deadlines.
Effective communication skills for collaboration with internal teams and external stakeholders.
Team player with the ability to work both independently and collaboratively in a team-oriented environment.
Professional demeanour, unwavering integrity, and a commitment to confidentiality.
Desirable: Operational experience in discretionary investment management.
In this role, you will:
Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures.
Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues.
Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK.
Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities.
Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements.
Develop management reports and prepare vital information for the Board and key governance committees as required.
Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance.
Assisting in responding to due diligence questionnaires and information requests from third parties.
Take a lead role in fostering an effective compliance culture within the organisation.
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!