Description
Great opportunity to join a growing asset manager based in Edinburgh, Working in an established team, you will:
- Provide support to the Regulatory Risk Manager, including deputising in meetings with stakeholders, participation in business projects, responding to business queries
- Engage with the business to support and challenge them regarding their management of regulatory risk. Provide commercially focused advice on regulatory and conduct matters, supporting business with their day-to-day regulatory obligations.
- Assist the Regulatory Risk Manager in proactively risk partnering the first line of defence to oversee the implementation of regulatory change
- Maintain general awareness of regulatory developments and how they can impact the business
- Proactively seek out better ways of performing conduct-related matters
- FCA liaison – supporting the Regulatory Risk Manager with:
- Responding to market monitoring queries
- Coordination of responses to other FCA enquiries, including thematic visits, risk assessments, information requests etc
-Drafting and submission of all conduct related filings as required (such as Approved Persons, and complaints return)
- Liaison with Distribution area to ensure non-monetary benefits are within regulatory risk appetite
- Assisting with policy administration & oversight
- Assessment of policy effectiveness
- Consider policy efficiencies & global alignment
- Assisting with conflicts of interest schedule maintenance
- Assisting with oversight of literature attestations & certifications, outside business interest declarations
- Assisting the other members of the R&OR team in the administration of the Compliance System:
- Supporting the Regulatory Risk Manager to embed US regulatory processes including:
- Form ADV maintenance
- Code of Ethics maintenance
- Annual Compliance Program review
- Consider Conduct & Compliance training needs for staff
Key Skills:
a) Regulatory risk management and controls experience.
b) Asset management knowledge, qualifications and experience.
c) General knowledge of the UK financial services regulatory environment and US Investment Adviser Act.
d) Effective communication skills both orally and in written form.
e) Strong organisational ability.
f) Educated beyond degree level, ideally with professional qualification such as accountant, lawyer etc.
This is a great opportunity for an experienced regulatory risk/compliance consultant to join a progressive, forward thinking brand within the Edinburgh market.
Please call Georgie Millyard at Rutherford Cross on 07850766965 / email [email protected] for more information.