UK compliance officer

Goodman Masson
11 Mar 2017
10 Apr 2017
Contract Type
Full Time
UK Compliance Manager.

this is an exciting opportunity to work at an established asset management company that are going to be going through unprecedented growth over the next two years. You will be working closely with the group head of compliance based on the isle of Man

Taking day to day responsibility for all aspects of UK regulatory Compliance, including, but not limited to:
oActing as the first point of contact for compliance issues relating to UK regulatory obligations
oKeeping up to date with ongoing regulatory changes and assisting in designing and implementing suitable processes and procedures to ensure on-going compliance with these
oAssisting with regular Compliance Reporting to Group company and client fund boards and assisting these boards to ensure that the rules and principles set by relevant regulatory bodies are being observed
oIn conjunction with other members of the Compliance Team, carrying out regular reviews of business processes to ensure ongoing compliance by regulated entities with their relevant regulatory obligations, including assisting with designing new processes and procedures to promote effective and efficient compliance processes
oEnsuring that appropriate action is taken to address any deficiencies in the Group's compliance with its UK regulatory obligations, including raising awareness at management and Board level and making recommendations to Boards in respect of areas of weakness identified during routine monitoring or otherwise
oWith particular emphasis on the companies UK procedures, assisting in ensuring that all compliance and operating procedures are kept up to date and are fit for purpose
oAssisting with ensuring that all appropriate compliance records are maintained
oCarrying out the function of CF11 for the FCA
oOverseeing the review and approval of marketing documentation and ensuring that appropriate disclosure statements are made
oIn conjunction with the Head of Compliance, assisting with ongoing liaison with all relevant regulators
oLiaising with external compliance consultants and legal advisers and implementing their recommendations
oWorking closely with other Departments to ensure continued compliance with evolving regulatory and industry standards.