Risk & Compliance Manager (Exclusive assignment)

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    £40,000 - £60,000 + Benefits

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  • Published:

    over 2 years ago

My client is an Investment management group with a number of private equity and real estate funds under management. Their success is primarily due to the integrity and quality of the team. 

The Role

They are currently looking seeking a Risk & Compliance Manager to ensure that the company's policies and rules are in line with regulatory requirements and standards. The group is undergoing a phase of rapid growth and are looking for an experienced professional familiar with investment management and with a good broad understanding of the UK financial regulatory framework  

The successful applicant will also be expected to support other areas of the group in ensuring operational requirements comply with UK Laws such as The Data Protection Act 2018 and HMRC regulation.

Key Responsibilities:

  • Providing risk and compliance advice and guidance to the partners of the business
  • Conduct regulatory horizon scanning to identify changes to or new regulatory requirements
  • Project Manage new regulatory initiatives of significance for example the SM&CR, 5MLD
  • Manage the production of risk Management Information (MI) to support effective risk management of the business
  • Develop, initiate and maintain a compliance monitoring programme (CMP) governing the operations of the company
  • Conduct compliance reviews as per the CMP
  • Work with the Partners and operational teams to ensure staff understand and comply with company policies, processes and procedures
  • Ensure all company documentation remains compliant
  • Ensure all Fund Marketing materials remain compliant with the FCA financial Promotions
  • Maintain an independent approach, ensuring that any compliance or good practice issues or concerns are identified, resolved professionally and reported appropriately
  • Report to the Partners on Compliance issues at quarterly meetings
  • Produce Annual Compliance reports for the Partners

Person Specification:

  • Proven experience of working in an FCA environment in a compliance or risk environment.
  • A good understanding of FCA reporting systems such as GABRIEL and Connect
  • A good understanding of FCA regulation including COBS, COLL, FUND, SYSC & Prudential Rules
  • Proficient MS Office skills
  • Excellent communication skills both written and verbal

This is a ‘hands on’ role working as part of a small dedicated team of accountants and investment analysts and the successful candidate will have a flexible in approach and a ‘can do’ attitude to problem solving. The ability to work autonomously is important as is the ability to manage multiple work flows

Salary range is broad as my client is keen to consider individuals at varying levels as the role can be tailored to the right individual.  It will be entirely commensurate with experience but will reflect the significance of the role