Our client is a small Boutique Asset Management company. They are seeking an experienced generalist Buy- Side Compliance professional to assist them in strengthening and improving the oversight of the appointed representative and advisers using our client’s platform.
The successful candidate should be advised that this is a Hybrid and permanent part-time position of two days per week. You will be working from home and meeting in the offices once every two or three weeks, as the business demands
Our client would prefer that this contract is the only professional work that you would be involved with, for confidentiality reasons.
Would suit a stay-at-home parent with young children, or a seasoned Compliance professional that has since effectively retired but wishes to remain active within the regulatory space for two days a week.
The main purpose of the role
Assist during the initial and ongoing Appointed Representative and Advisers due diligence process.
Manage the regulatory training program and organise training refreshers.
Paralegal assistance with the approval of MOU, AR and secondment agreements, …
Regularly review the compliance manual and ensure it is up to date.
Regularly review the financial promotion policy and ensure it is up to date.
Regularly review the Anti Money Laundering manual and ensure it is up to date.
Assist in the review of financial promotions, newsletters, websites … used by the AR.
Monitor the distribution of financial promotions and maintain a log.
Review the investors suitability assessment, notices and certificates.
Assist with the funds bank accounts, brokers and exchanges onboarding.
Monitor the tri-partite agreements between the AIFM/Adviser/Administrator.
Review the AR monthly reports to ensure that they remain within their agreed activities.
Assist during the regulatory reporting process.
Assist with the S21 activities
The successful candidate will have the following:
The ideal candidate will have the following.
Ideally, educated to degree level or equivalent with professional training relevant investment management services.
Regulatory/Compliance knowledge required in following areas:
Technical knowledge of the key legal and regulatory framework relating to risk (eg capital requirements, ICARA, liquidity, …)
Data Protection Act
FCA Conduct Rules
A minimum of 5 years’ relevant Buy-Side Compliance experience.
Thorough working knowledge of the investment management regulatory framework.
Able to influence the thinking of Senior Management.
Be seen as an independent-minded individual.
Excellent communication, interpersonal and presentation skills.
Excellent time management, planning and organisational skills essential in order to meet tight deadlines.
Self-motivation and the ability to work with others in a team environment is essential.
High degree of IT literacy (Excel, AirTable, Word, Dropbox, …)
If you feel you are a suitable candidate for this position please contact Jonathan Banjo