​The role will contribute to the establishment and maintenance of the company’s regulatory standards and policies in accordance with the rules and guidance of the FCA and to support the business in creating and maintain a compliant framework for the business to operate within.

The role will involve:

• Undertake the process of ensuring effective early identification of upcoming regulatory change.

• Produce communications to the business in relation to regulatory change, ensuring they deliver the information required in a clear and consistent manner.

• Support the maintenance of the suite of policies and guidance published by Legal and Regulatory, and support the wider business in ensuring their documents align with the regulatory requirements.

• Respond to queries received by the compliance helpdesk service which receives a range of queries across the business.

• Provide regular updates to the business, via the Regulatory Bulletin or ad hoc communications.

• Support the maintenance of the T&C Scheme to ensure it remains fit for purpose, compliant with regulatory requirements and proportionate.

Key Requirements:

• Ideally Investment Compliance Diploma (minimum Investment Operations Certificate) or requisite knowledge and experience in the Financial Services Industry

• Good understanding of retail investment products, FCA regulated financial services firms and Discretionary Fund Management

• A comprehensive working knowledge of the Financial Services and Markets Act, FCA Handbook, Principles for Business

• A minimum of 3 years’ experience in a compliance role with experience in policy and regulatory change

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