Key Responsibilities
Compliance Monitoring:
*Support the design and delivery of a risk focused Compliance Monitoring Plan, working with the wider Risk and Compliance team.
*Lead the completion of thematic reviews in accordance with the annual compliance monitoring plan, using appropriate tools and methodologies, and documenting the outcome accurately and in a timely fashion.
*Prepare and deliver close-out briefings to wider risk and compliance team and senior management which summarise the findings of assurance activity.
*Draft high quality reports which outline the findings of assurance activity.
*Track the resolution of issues identified and action points agreed, and provide timely escalation to line management where (open) issues / actions are at risk of missing their target completion date.
*Lead ad hoc project work that may occur throughout the course of business.
*Lead Second Line of Defence assessment of regulatory and conduct risks to ensure the assurance activity completed remains risk based.
*Support the continuous improvement of First Line of Defence risk identification and mitigation by reference to Compliance Assurance findings.
*Support the design, implementation and operationalisation of a risk focused Surveillance Framework.

Advice:
*Lead the provision of high quality and timely advice on propositional developments, new business opportunities and regulatory change initiatives, ensuring a strong focus on good client outcomes at all times.
*Lead the response to general queries raised by business stakeholders on the FCA Handbook and compliance related policies and procedures.
*Lead ad hoc regulatory projects as directed by Risk and Compliance line management.
*Lead the review of regulatory publications and interaction with trade bodies on specific topics.
*Lead the production of regulatory training materials.
*Contribute to the delivery of F2F compliance related training sessions.
*Produce forward looking and insightful updates on material regulatory issues for inclusion in management reporting.
Breaches and Incidents:
*Identify, investigate and report on breaches and incidents, ensuring that these are logged promptly and accurately in the Governance Risk & Control platform and resolved within an appropriate timeframe.
General:
*Support the Risk and Compliance department to maintain up-to-date departmental procedures.
*Support the coaching and development of more junior members of the Risk and Compliance department.
*Collaborate with colleagues from across the business to support the embedding of a client and risk focused culture across the Group.
*Identify and propose improvements to the control environment to support the consistent delivery of good client outcomes.
*Board report preparation and reporting.
*Consumer Duty Lead
*FCA and HMRC Regulatory reporting
Key skills and experience
*Detailed knowledge and understanding of relevant regulatory requirements, including FSMA, FCA sourcebooks, LSE Rulebook, AIFMD, UCITS and EMIR
*Experience of wealth management, fund management, suitability and good client outcomes preferred.
*Strong inter-personal skills, judgement and decision-making ability, and a determined and proactive approach
*Experience of financial promotions rules, NRRS, SIS and Retail products
*Understanding of fund operations, settlement cycles and trading
*At least 5 years of experience in a regulated company
Professional Qualifications and Education
*Educated to Degree level or equivalent experience
*Relevant regulatory qualifications an advantage