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Job Location | Leeds |
Education | Not Mentioned |
Salary | Competitive salary |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent, full-time or part-time |
To deliver the Compliance Monitoring plan, which is agreed on an annual basis with the Fund Solutions (FS) Risk Committees. This will require undertaking scoping and performing the required fieldwork for reviews allocated and reporting on any potential findings.The main purpose of this is to provide assurance to senior management that the Fund Solutions regulated businesses (Link Fund Solutions Limited(LFSL), Link Fund Administrators Limited (LFA) and Link Financial Investments Limited (LFI)) are complyingwith relevant regulatory requirements applicable to an Authorised Fund Manager (AFM) and Authorised Corporate Director (ACD) of funds (LFSL), ISA Manager (LFI), and Transfer Agency (LFA), and in other cases those of a Third Party Administrator (TPA).You will have responsibility for assisting in the management and control of the Incidents and Breaches Register, which is held in our web based Governance, Risk and Compliance (GRC) system. The core purpose of this is to ensure that we have completeness andaccuracy on the reporting of breaches and incidents within our organisation so we can ensure we are appropriately reporting and meeting obligations to our Depositaries, Investment Management Delegates, Clients, Information Commissioners Office (ICO) andthe Financial Conduct Authority (FCA), where relevant.What youll be doing: