To analyse and interpret FCA regulations, and other relevant rules and legislation, and to provide compliance support to product and operational projects.
To take the lead on a number of regulatory projects and to deputise for the Head of Compliance when required.
Identifying regulatory and legislative changes which might impact the business and providing practical guidance on any new processes or system changes that may be required.
Providing input to responses to FCA papers and guidance as required.
Providing compliance input and guidance to projects and working groups on new product, systems and operational developments within the business.
Ensuring that regulatory requirements are appropriately addressed in the development of new products, systems implementations and operational enhancements.
Developing and maintaining relationships with business teams and providing regulatory consultancy support, technical expertise and training as required.
Providing regulatory review and sign-off of marketing literature.
Developing and maintaining effective relationships with the technical compliance teams of external business parties.
The ideal candidate should have the following profile:
Likely to have 5-7 years' broad Regulatory experience within an Fund Management environment
Must have knowledge and experience of retail fund distribution and supporting operations.
Strong people skills, able to communicate and influence at all levels within the business and take issues forward with senior management.
Self-starter comfortable working on their own initiative without requiring close day to day supervision, i.e. able to analyse, interpret, and implement regulatory change Knowledge and experience of European/international fund distribution useful but not essential.
Travel will be required on a fairly frequent (e.g. at least monthly) and flexible basis between different offices, and the offices of various third party administrators.