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Compliance Manager (Advisory)

£65000 - £71000 per annum


The key responsibilities of R&C include, but are not limited to:
· Provision of Compliance Advisory support to ensure it operates in accordance with the Financial Conduct Authority (FCA)
· liaison with the FCA
· maintenance of, provision of guidance on, and disciplinary procedures in respect of transgressions
· Review and approval of applications for membership.

Role Profile

The successful candidate will provide compliance support to the derivative segment of the business.
There will also be scope to provide compliance support to the derivatives business of other areas within the business.


Key Responsibilities

  • Provision of compliance advisory and support services, working closely with senior business personnel to ensure regulatory considerations are considered at an early stage of any new initiative
  • Assisting the business in understanding measures arising from new regulations to ensure effective response and implementation.
  • Close stakeholders liason
  • Compliance risk management and monitoring
  • Liaison with the FCA


Key Skills

  • Degree level education or equivalent.
  • Relevant experience within the financial services industry, in particular the derivatives markets. Trading venue experience would be preferable but is not essential.
  • Proficient in use of MS Office, specifically Outlook, Word, Excel and PowerPoint.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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Senior Associate - Compliance

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Management Consultancy, providing support to fund managers, investors and other specialists in the asset management industries managing and advising more than $1Trn of assets. The firm has expertise in all traditional and alternative asset classes, including equities and bonds, private equity, venture capital, hedge funds, real estate, infrastructure, energy, and credit.

Opportunity
Due to growth of the business we are looking to recruit a dedicated person to provide compliance advice to our base of investment clients. The individual would work under the Partner and would form direct working relationships with our clients and would be the first point of call for all relevant compliance queries. The individual may also be asked to provide compliance advice to our internal business. The individual would also be involved in designing technology solutions with our development team for common compliance issues.

Responsibilities

  • Answering compliance queries and providing robust written and/or verbal answers
  • Leading on FCA Authorisations
  • Providing written compliance advice to clients
  • Acting as a compliance business partner to the AIFM team
  • Compliance advice on new fund launches
  • Compliance advice on new ARs
  • Advising on the production of internal “know-how” to assist the wider team
  • Researching new regulations and advising the clients on their impact
  • Policy writing
  • Provision of training


Experience
We would expect that candidates will have:

  • Demonstrable ability to analyse and interpret complex regulations and provide detailed compliance advice - gained within a regulatory consultancy or in-house compliance advisory role
  • 3 years’ experience within a regulatory consultancy where they have provided compliance advice to clients or 6 years within an in-house compliance advisory function
  • an excellent knowledge of the following core regulations including:
    • the Senior Manager’s regime
    • the Approved Person regime
    • the Alternative Investment Fund Managers Directive (risk management experience would be beneficial not required)
    • MIFID (aspects relating to illiquid portfolios i.e. excluding transaction reporting, MiFIR, etc)
  • a working knowledge of:
    • investment fund structures (unauthorised)
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    • the delegated/host AIFM model
    • the Principal / AR model



McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Data Protection Specialist

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£60000 - £80000 per annum

Essential Function

Data Protection:

  • Provide advice on data protection compliance risk.
  • Design and manage a data protection monitoring programme designed to assess compliance with CLS’s data protection policies.
  • Maintain up to date, the GDPR Risk and Control Logs.
  • Develop and maintain records of all CLS’s personal data processing activity, including the assessment of the lawful basis for processing.
  • Review policies and procedures to ensure these remain GDPR Compliant, as well as ensure all operational aspects meet compliance in execution.
  • Conduct Data Protection Impact Assessments for all relevant projects, product launches and other change initiatives.
  • Manage all queries or requests from data subjects including subject access requests.
  • Work with Legal, Vendor Management and Information Security to assess new vendors from a data protection perspective and put in place appropriate data protection contractual clauses.
  • Maintain CLS’s Privacy Notice and manage distribution to data subjects.
  • Develop and manage an effective data protection training and awareness programme designed to ensure that all staff are adequately trained on and are aware of compliance requirements.
  • Contributing to horizon-scanning activities to ensure readiness for upcoming changes in laws and regulations, research and analysis on developments in privacy law.

Experience

  • B.A./equivalent required.
  • 3-5 years of experience in a compliance/Data Protection function.
  • Must have 3-5 years hands-on operational experience of data protection & privacy.
  • Knowledge of national, European and Global data protection laws and practices including but not limited to an in-depth understanding of GDPR.
  • Experience of managing other security, data or risk regulatory frameworks with a security focus would be an advantage.

Knowledge, skills and abilities:

  • Understanding of the need for and possession of the ability to uphold the highest standards of confidentiality
  • Excellent report writing and presentation skills
  • Superior interpersonal skills
  • Ability to work independently to creatively assess and identify gaps and present solutions
  • Ability to work at a fast-pace and amid ambiguity and changing priorities
  • Ability to steer and influence a culture of compliance
  • Project management skills
  • Investigative and analytical thinking

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.