The successful candidate will be based in our new Brown Shipley office in Manchester, fully contributing to the delivery of the firm’s compliance monitoring programme and in doing so, creating a record of the firms’ compliance with its regulatory and legal obligations.
Providing clear direction to the 1LOD; supporting their closure of any gaps in the current operating state through agreed actions and deadlines.
• Deliver a series of defined monitoring tests to ascertain the firms’ compliance with its regulatory and legal obligations.
- Delivery of compliance tests on time, in accordance with compliance monitoring plan schedule
- Maintaining excellent record keeping correct use of test folders, version control, naming conventions
• Engage with business pre and post testing; monitoring and verifying the completion of actions which help the business demonstrate positive compliance with its regulatory and legal obligations.
• Evolving, adapting and designing CMP testing sheets
• Daily gap analysis of the CMP scope and application
• Actively contributing through monitoring to a ‘live’ compliance risk assessment of the firm
• Daily completion of Market Abuse Monitoring activity.
• Supporting and undertaking Compliance Reporting
• Exemplary Conduct and Behaviour
Knowledge / Experience
• Working knowledge of the FCA handbook across, investment management, wealth planning and lending. Client money, SMCR training and competence and general control framework.
• Familiarity with ESMA and EBA rules and the interaction between European legislation and FCA/PRA
• Delivering and/or assessing delivery of, the FCA handbook described above through analysis of:
- Client files, procedures, processes, record keeping.
• Delivering regulatory change within a firm
• Responsibility, expectation and governance of a 3LOD model.
Attributes & Qualities
• Ability to engage people effectively in order to recognise and achieve agreed outcomes.
• Ability to understand regulatory text – regulation, directive, guidance – and understand the practical implications and applications of that.
• Excellent business writing skills the ability to summarise at high level as-well-as explain detail findings clearly and concisely
• Ability to apply root cause analysis to findings in order to create effective actions
• Demonstrate a fundamental understanding of the audience and the aim of the report at hand.
• Excellent record keeping - use of ascribed folders, naming conventions, dating and version control – required to create a lasting and robust records which the senior managers can rely on.
• Principled - naturally living the values of good conduct
• Record of Maintaining ongoing accredited CPD with either CISI or Cii
Excellent written, verbal, numeric and comprehension skills
Relevant qualifications through industry body (Cii or CISI) or educational institution.
Proficient in using MS Office – Word and Excel to a level commensurate with excellent report writing and data analysis.
Fluent in English and any European language would be advantageous