MERJE are working with a leading outsourced international investment office which provides independent investment management advice to family offices, pension funds and large foundations with
- Providing advice and guidance to the business on regulatory and compliance issues as required (such as MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance etc.).
- Analysing and interpreting regulatory developments.
- Conducting risk assessments and gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintaining and developing the CMP processes, tracking action items to resolution, following-up implementation of recommendations, writing reports including recommendations and providing appropiate management information on progress
- Ensuring the submission of regulatory returns to the FCA in a timely manner and responding to standard requests in a timely manner.
- Maintaining the core compliance regulatory registers • Drafting and updating internal policies and procedures in line with regulatory developments.
- Supporting the firm’s compliance with Anti-Money Laundering (AML) requirements.
- Experience of operating in a broad compliance role within the Wealth Management or Asset Management space with a good understanding of the regulatory enviroment.
- Ability to work with a large degree of independence, escalating issues when and if necessary.
- Some experience in management is preferable.
- Ability to prioritise, multi-task, and manage expectations and their time in a fast-paced environment with shifting demands.
- Good organisational, research and project management skills.
- Strong financial and business awareness
- Legal background would be advantageous