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Job Overview

Compliance Monitoring Executive

Location: London, England Salary: Negotiable
Type: Permanent Contact: James Conn
Posted: 26 days ago

Description

A leading regulatory hosting firm offering a high-quality and flexible regulatory hosting platform in the UK and EU, helping numerous firms undertake regulated activities under its umbrella, while allowing them to retain their own brand identity and control.

Reporting into the Compliance Director, you will undertake an extremely rewarding role assisting a busy compliance team with ensuring compliance to the regulatory requirements of our clients. You will also have primary responsibility for supporting the Head of Financial Promotions with the review and approval of a wide range of marketing materials. You will likely have generalist experience in asset management regulatory compliance, and a sound knowledge of the FCA financial promotion requirements.

Responsibilities:

  • Designing, implementing and enhancing compliance monitoring procedures, heatmaps and monitoring work programmes
  • Building a positive working relationship with our clients; attending regular on-site, client monitoring visits to identify potential and current regulatory issues within a client's business and working to resolve or reduce the risks
  • Liaising with and supporting the London based Compliance team
  • Reviewing financial promotions and providing feedback to clients
  • Monitoring financial promotion emails and client portal as required
  • Liaising with EU based team as required on financial promotion matters
  • Providing training both internally and externally to clients as and when required
  • Providing management information both internally and externally regarding volume of reviews
  • Supporting the development of policies, processes, training and providing other relevant support that enhances our offering to our clients/prospects
  • Monitoring regulatory changes and assisting with impact analysis of the same
  • Undertaking other relevant, ad-hoc tasks within the remit of the role as and when required


Requirements:

  • Professionally educated preferably to degree standard or equivalent.
  • Five years' or more prior experience in generalist regulatory compliance roles within the wholesale sector (eg. hedge funds, private equity or buy-side real estate fund management, etc.), fluent in the Financial Promotions Regime and with a working knowledge of the compliance obligations from MiFID II, AIFMD and general UK regulatory compliance expectations
  • Ability to deal with clients with confidence and gravitas
  • Ability to work under pressure with great attention to detail, successfully managing priorities to meet tight deadlines
  • Ability to work on own initiative in a fast-paced, small-team environment, prioritising
  • Regulatory hosting exposure advantageous but will consider candidates from a financial services background with financial promotions experience.

Eames Consulting is acting as an Employment Agency in relation to this vacancy.