A 12 Month FTC, this role will lead a small team responsible for the development and execution of the UK regulatory & conduct risk oversight framework, including regulatory reporting and other core compliance activities such as PA Dealing, Compliance training, Conflict management, trade/voice surveillance and investment restriction oversight.Role responsibilities:
- Management, execution and oversight of the annual regulatory risk assessment and compliance monitoring programme.
- Performing trade and voice surveillance
- Management and oversight of core compliance activities, including:
- PA Dealing
- Regulatory Reporting
- COI Framework
- Conduct Risk Framework
The role requires a solid understanding and experience in both the asset management industry and in interpreting UK regulatory obligations. It is also important to be able to influence senior members of the business and have strong communication skills (oral and written).