Compliance Advisory

  • Location:

    City of London, London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £41000 - £55000 per annum

  • Contact:

    Matthew Pollard

  • Contact email:

    Matthew.Pollard@goodmanmasson.com

  • Job ref:

    MP041019_1570177183

  • Published:

    13 days ago

  • Expiry date:

    2019-11-03

  • Startdate:

    ASAP

A pensions investment firm are looking for a compliance advisory Manager to join their team. This will be a varied role in a fast growing business, the role reports into the head of compliance and financial crime.

Responsibilities

  • Responsibility for providing SME guidance for the FCA regulated areas of the business including FCA Conduct of Business, Systems and Controls and including Financial Crime
  • Responsibility for supporting and enabling the business to make operational decisions taking account of regulatory risk and also provide robust challenge where necessary;
  • Accurate and timely submission of periodic FCA returns (financial and non-financial) to FCA and required data items to the FCA;
  • Maintenance of data on the FCA register and management of changes including standing data, approved persons, appointed representatives, variations of permissions, cancellations of permissions and waivers as required;
  • Management of the approved persons framework including applications and the fitness and probity framework;
  • Maintenance of regulatory correspondence and records of interactions with FCA including meeting notes, minutes and management of deadlines for responding to regulatory correspondence;
  • Maintenance and development of the Compliance Policies and Procedures, including attestations and reporting control effectiveness.
  • The implementation of compliance partnering to facilitate the provision of compliance advice, including Financial Crime Prevention for investments, the Corporation and the Scheme. This will include policies, processes and awareness raising programme as appropriate;
  • Support in the defining of regulatory risk appetite and engage with the Risk function to develop a regulatory risk universe;
  • Contribute to the insightful and effective reporting to the Executive and Board Audit Committee for the area of responsibility;
  • Provide metrics to enable monitoring of regulatory compliance of the business that supports the Compliance Opinion with data to assess the state of compliance of the business;
  • Provide guidance and advice to first line investment teams on FCA regulatory requirements and financial crime risks associated with the business operation and the adequacy of mitigating controls;
  • Provide support on the design and application of the outsource oversight framework to ensure that regulatory risk of outsourcing is managed and appropriately overseen by the first line;
  • Report to FCA in line with regulatory requirements fulfilling the periodic reporting requirements and in a way that is conducive to building constructive and effective relationships;
  • Provide regulatory advice on queries on any area of FCA regulation and guidance and maintain a log and record of advice provided;
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