This role is responsible for the Compliance Acquisition framework, to include undertaking due diligence, ensuring relevant information is gathered, analysed and communicated effectively to the appropriate teams.
The role will involve:
• Maintain the master Information Request List (IRL) templates for both Share and Asset DD. Ensure information requested is relevant and tailored to the target business, adding new item as any changes in legislation arises.
• Maintain master Compliance DD report template, ensuring the content always matches the data requested on the IRL.
• Review items provided by Vendors and highlight where insufficient information has been provided, any information gaps and flag any high-risk items to the appropriate departments as appropriate.
• To lead Compliance calls with Vendors to obtain further information or understanding on processes, systems and controls.
• Liaise with external compliance support where required.
• Following a thorough review of data provided, draft detailed findings in the Compliance DD report, highlighting potential risks to the business, both at DD and implementation stage.
• Attend weekly internal Acquisition call and provide verbal progress updates on acquisitions in play.
• Assist with preparation of documents required for the FCA.
• Ensure all actions highlighted in the Compliance DD report have been added to the acquired firm’s implementation plan.
• Attend weekly internal Implementation calls, assisting with any Compliance issues raised and ensuring Compliance actions are completed.
• Compliance/Risk Manager – (Wealth) – minimum 5 years
• Qualified to Level 4
• Sound knowledge of UK Financial Services Industry and retail products (including Corporate Business)