SMCR Compliance Officer – Asset Manager

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  • Salary:

    £60,000-£70,000 basic salary plus + package

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  • Published:

    almost 2 years ago

Our client is a highly reputable global Asset Manager with an established UK presence. Due to continued growth and in preparation for SMCR implementation across the business, they are now actively looking to recruit a specialist to provide ongoing SMCR oversight.
As part of the wider Compliance Advisory team, you will be responsible for:
• SMCR classification of a new joiner prior to hiring
• Accountable for coordination with HR and Compliance of completion and logging of regulatory reference requests 
• Updates FCA directory to reflect leavers, movers, starters
• Working with Business Managers to ensure hire is approved– collates new joiner pack from HR including rationale for hire, interview process and SM checks
• Coordination of Fit and Proper Confirmation with Business Managers, ensuring Certified role holders can undertake their role
• Responsible for escalation of non-completion and breach reporting activity 
• Conduct Rules Management - Conduct panel management including convening of meeting.  This will include formalization of the process to ensure consistency and ensure adherence to the terms of reference and preparation of materials and reports etc. 
• Governance - Preparing/briefing Senior Manager to present to quarterly board on Conduct activities
Key Requirements: 
• Financial Services industry work experience including exposure to SMCR
• Experience of implementing, remediating or developing SMCR in other regulated firms 
• Comfortable and credible dealing with senior managers and individuals
• Excellent attention to detail/accuracy 
• Able to recommend and implement improvements to processes, procedures and frameworks
• Strong relationship management skills to collaborate with and influence other teams who play a key role in the SMCR operational processes and procedures
• Strong time management and work prioritization skills
• Ability to work independently and use good judgment in decision-making