Our client, a highly successful, blue chip financial services organisation, wishes to appoint a Senior Compliance Adviser.
Role Overview
Development of Compliance policy and effective systems and controls Development of compliance culture ensuring regulatory breaches and errors are identified and rectified with full co-operation and agreement of business partner
Support operational management on compliance issues
Identify regulatory and legislative changes that impact on the business and ensure business partners are aware of changes that affect their operations, providing guidance on assessing impacts and implementing any process, literature or system change that may be required to take account of new requirements
Ensure Senior Management are aware of key risks and issues in a timely fashion.
Represent Business Risk in Steering groups, Design Authorities, Risk Committees and other governance fora
Provide compliance input to the company's responses to relevant consultation papers
Proactively provide input to projects and working parties in relation to the development of this new business, liaising with other companies in the Group or prospective partners as appropriate
Ensure that compliance requirements are considered and are appropriately addressed in the development of new business initiatives (eg new funds, distribution arrangements, outsourcing), operating procedures, selling practices and new partnership arrangements
Provide coaching and training to Business Risk and relevant Business Divisions on technical compliance issues, ensuring knowledge transfer and development
Build, maintain and enhance effective working relationships with all internal and external customers, including 3rd parties and other business units
Communicate with staff at all levels regarding regulatory or legislative changes that may affect business operations providing clear, concise and timely guidance
Candidate Profile
Must have experience of working with Investment Management companies or equivalent; providing them with compliance service and guidance
In depth knowledge of legislative and regulatory frameworks in Financial Services
Detailed knowledge of FSA Handbook to include specific reference to COLL, CASS, SYSC
Detailed asset management experience to include experience in Fund Accounting and Net Asset Valuation, Fund Valuation and Pricing Pooling - co-mingling of assets, Permitted links for life funds
Excellent communication skills
Sound influencing and negotiation skills
Excellent analytical, interpretation and problem solving skills, with the ability to produce practical, compliant business focused solutions
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