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Senior Associate - Compliance

£75000 - £85000 per annum

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)
    • a variety of financial services business models across several asset classes
    • the delegated/host AIFM model
    • the Principal / AR model



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

 

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Compliance Manager

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£40000 - £65000 per annum


Compliance Generalist for Investment firm:

THE RESPONSIBILITIES:

• Support the Head of Compliance as and when required on specific activities and projects;

• Produce compliance reports and metris

• Manage all assurnace and monitoring activities

• To build relationships and work with each department on the compliance framework, policies and procedures

• Identifying, assessing and managing compliance risk within the business

• Ensure all compliance principles, policies and procedures are clearly defined and adhered to

• Through regular and appropriate business involvement ensure all compliance work is carried out to the required level of competence

• Build and maintain effective working relationships with the internal stakeholders

• Regularly review and keep up to date with changes in regulatory, legislative and market practices that impact the business;

EXPERIENCE REQUIRED:

• Solid compliance experience within the financial services industry and compliance.

• Proven experience of working in a multi-disciplined team across business units.

• Strong understanding of all regulations that impact the business

• Strong report writing skills. • A good attention to detail, adaptability, a keenness to learn and accurate keyboard skills.

• Ability to build relationships effectively, both in the immediate team and wider business.

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

Head of Compliance Assurance

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£60000 - £90000 per annum

Scope & deliverables:

  • Management of the Compliance Assurance team, including line management, effective management of workload, adherence to planned deadlines and providing deliverables in a timely manner;
  • Engaging with executive team members to facilitate the planning of assurance and monitoring activity;
  • Engaging with the Compliance Advice team members to ensure an end-to-end compliance service in relation to scheme development;
  • Ensuring that first, second and third line assurance functions, and senior technical SMEs are properly briefed on all current and planned assurance activities, and that feedback is shared amongst these functions to ensure learnings are noted by appropriate teams;
  • Assurance reporting against industry reporting standards and as directed by Trustee or Executive request.

Experience and technical skills:

  • Design and delivery of a Compliance Assurance Risk Universe that supports a risk based approach to the development of the annual assurance plan;
  • Design and delivery of a risk based annual Compliance Assurance Plan covering the business areas
  • Delivering and keeping up to date a framework to enable annual recertification of ISO 27001 compliance;
  • Engagement with the Enterprise Risk team and provision of risk assessments based on existing second line assurance activity and expectations of volumes and outcomes of future activity, to enable the Enterprise Risk team to make an assessment of the assurance available in respect of the principle risks and recommend a strategic assurance framework for the coming year;
  • Development and delivery of a risk based holistic annual plan of monitoring and assurance activity, based on the risk framework delivered by the Enterprise Risk team, covering pension and pension tax law, pensions regulatory requirements

Role requirements

The employee will be able to demonstrate the following experience and technical skills:

  • Prioritising, directing and completing projects in a timely manner;
  • Using initiative and working independently
  • A key team player;
  • Technical expertise in relation to FCA regulation, occupational defined contribution pension schemes;
  • Acknowledged specialist in assurance activity;
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McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Compliance Monitoring Analyst

SAVE
£40000 - £50000 per annum

The Role:

Compliance department provides regulatory support to the whole firm covering a diverse range of businesses including market making, corporate finance, research and a retail platform. The compliance department is made up of eight regulatory specialists performing a range of activities including providing advice, trade surveillance, control room and monitoring activities.

Job Purpose:

To assist in the monitoring activities of the team, as well as providing advice to the business on a number of different issues. Providing ad-hoc administration and business support.

Key Responsibilities and Duties:

Reporting to the Head of Compliance, the role will include:

  • Assisting with the management and delivery of all aspects of the Compliance Monitoring Plan
  • Conducting thorough Compliance Monitoring reviews, covering a range of activities, across the business platforms, to ensure compliance with all applicable regulations and internal standards
  • Identifying and analysing potential risks to the firm and preparing written reports for the Head of Compliance and relevant business stakeholders, including details of findings and agreed remedial actions
  • Monitor the progress and completion of remedial actions as a result of Compliance Monitoring review findings
  • Assignment of mandatory training modules to relevant employees
  • Prepare management information for senior management and the Risk and Compliance Committee
  • Providing general Compliance advice to business stakeholders where required
  • Ad-hoc duties as required

Requirements:
Skills & Experience

  • Knowledge and experience of a similar wholesale, retail or professional services firm
  • Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
  • Ability to learn quickly and solve problems
  • Strong communication skills
  • Experience of producing written reports

Personal Attributes:

  • Confident and independent self-starter willing to take ownership of issues and drive to resolution
  • Collaborative worker able to pursue team goals and both seek and provide support as required
  • Strong work ethic with a commitment to continuous personal development

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