Key Responsibilities: (in order of importance, list major activities performed in the role)
Assist the CO to meet FCA and SEC regulatory compliance requirements including AIFMD obligations and adhere to all other applicable overseas regulatory requirements.
Assist the CO to conduct duties as MLRO, ensuring that the firm's anti Money Laundering procedures are regularly reviewed and updated as appropriate.
Report any issues of compliance to the CO as quickly as possible, in particular any breaches.
Develop and maintain Origin's Compliance Manual.
Assist the CO to organise compliance training for all partners and staff.
Assist the CO to compile compliance related responses for RFPs/DDQs
Liaise and develop working relationships with parent group compliance department including regular reporting requirements via the Ascendant Compliance web portal.
Monitor regulatory sanctions and implement where appropriate.
Monitor group and company conflicts with staff.
Work with external compliance advisors of Origin on ad hoc matters and projects.
Review pre & post trade portfolio investment guidelines and restrictions reports in thinkFolio to check for warnings or breaches.
Compliance review and approval of marketing presentations.
Review post trade compliance mandate checks reports produced by Operations team.
Review Origin's financial promotions to ensure their compliance with COBS.
Assist CO to prepare monthly Compliance Report to submit to Parent Company.
Prepare monthly client compliance related certifications.
Prepare monthly AML reporting and submit to Ontario Securities Commission.
Update FinScan client list for OFAC Screening purpose.
Update counterparty credit ratings for Risk Management purposes.
Analyse and report findings on best execution as per Mifid II guidelines.
Prepare and document the compliance monitoring programme including testing. Submit to CO for review and approval.
Assist CO to check FCA Financial resource requirements are being met.
Assist CO to review and approve monthly commentary for all strategies.
Assist to carry out FCA filings, including populating information for Annex IV reporting.
Prepare monthly 13F holdings filing and submit to SEC.
Review and approve quarterly Presentation and Factsheet.
Assist the CO to respond to quarterly Client/Consultant questionnaires and attestations.
SEMI ANNUAL & ANNUAL
Assist the CO to carry out FCA filings, including for Annex IV and financial reporting.
Assist the CO to carry out SEC filings, including Annual ADV (Part 1 and 2) and Form PF.
Assist the CO to respond to annual Client/Consultant questionnaires and attestations.
Review all manuals and documentation of procedures on an on-going basis with CO to ensure that they are appropriate and up-to-date and reflect current best practice, as far as is practical.
Assist the CO with ad hoc business projects as directed (e.g. setting up new funds).
Attend compliance seminars and conferences as appropriate.
CANDIDATES - PREFERRED ATTRIBUTES AND ABILITIES Display self-motivation and drive by looking to improve compliance standards within the business areas. Excellent level of English language. Excellent communication skills (both verbal and written). Good level of knowledge of FCA, SEC and EU (e.g Mifid II) regulatory requirements. Educated to degree level or equivalent (2.1 minimum). Relevant Compliance Qualification or law degree. Minimum 3-5 years' experience in investment business compliance. Ability to work within a team as well as independently. Ability to work to tight deadlines. Ability to raise and communicate complex issues accurately and succinctly to personnel at all levels.