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Compliance Oversight Officer SMF16 / SMF17 - Asset Management

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

The successful candidate will be expected to;

  • Have strong compliance knowledge and understanding, enabling them to understand and interpret market developments, topical issues and best practice with a view to incorporating them into the firm’s business processes and culture.
  • Have the ability to draft/amend the new/existing policies and procedures to reflect new and changing requirements.
  • Support and encourage the training of staff at all levels.
  • Be commercially aware and gain a good understanding of the commercial drivers of the business so as to be able to work closely with Investment Management, Operations, CRM/Marketing, Administration and Finance - understanding the business model and businessrisks while ensuring the compliance perspective is fully understood and taken into account on a proportionate basis.
  • Be the source of advice and guidance to the business on relevant compliance issues/requirements as and when they arise.
  • Work closely with the CEO on compliance matters as to development of ethos and culture within the firm
  • Prepare reports for committees/management/Board, giving independent and objective assurance on adherence to regulatory standards and on the effectiveness of controls in place.
  • Be involved in discussions to modify changes in business practices and products to ensure that the compliance aspects (including risks and controls) are adequate.
  • Maintain the firms Compliance manual.
  • Operate as an Active participant in Board Meetings, Compliance and Product Governance Meetings
  • Assist with risk management issues e.g. identifying and logging operational risk events/complaints etc
  • Have a good knowledge of topical and relevant regulatory regimes such as, but not limited to, MiFID 2, CASS, GDPR, SMCR and Consumer Duty.
The successful candidate will have:
  • Experience working as a compliance officer, ideally in a retail/intermediary/investment management environment.
  • Be willing and able to take on the responsibilities of the SMF 16 & SMF 17 roles.
  • Good written English skills for both reviewing client facing materials and drafting board notes/policies and internal documents.
  • Capability to meet deadlines i.e. organisation and time management.
  • Sound knowledge of the relevant sections of the FCA Handbook/EBA requirements
  • Possess interpersonal skills and be a team player, able to mentor, motivate and lead junior staff.
  • Be an active participant in Executive Management and be able to work in a small but driven team.

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