We are looking for a Specialist Compliance Adviser with Audit, Risk and Fraud Experience, with previous experience in the Charity/Not-for-Profit sector.
This business promotes and provides access to an investment service and deposit products for charities, trustees and other not-for-profit organisations. They work with a number of different fund management houses to provide funds and services that are designed to meet the needs of the charity sector. You will be accountable for delivering rigorous technical, regulatory advice on these funds, fund based platforms and associated financial promotions in line with the business model and strategy.
Key Job Responsibilities:
* To be responsible for leading and providing rigorous and accurate guidance and regulatory support to senior management and other colleagues to enable informed decisions to be made on key issues relevant to the business model and strategy.
* To be responsible for providing accurate and rigorous technical assessments of regulatory permissions.
* To deliver an environment in line with Industry and regulatory requirements, ensuring key regulatory risks are understood and an appropriate framework exists to manage and control them.
* To be responsible for leading an effective risk-based monitoring program ensuring business delivery complies with applicable regulatory and industry best practice and enhancing this program where necessary to reflect changes to strategy, business model and regulatory requirements.
* To prepare reports and papers on compliance and any other subject related matters for discussion at Group Audit, Risk and Compliance Committee, external or internal meetings. Review trends and recommend reviews of strategic operations and activity where appropriate.
* To assess and monitor all ‘material outsourcing’ arrangements in line with FCA handbook requirements for third party product providers.
* To compile monthly quantitative and qualitative TCF (Treating Customers Fairly) management information for discussion with Senior Management and the Audit, Risk and Compliance Committee. Review of complaints processes with appropriate reporting to the Regulator, Executive and BRCC.
* To ensure all supervisory, statistical returns and notifications are completed and submitted to the regulators (FCA and PRA) accurately and in a timely manner.
* To be responsible for scheduling and maintaining a compliance monitoring calendar for all FCA/PRA regulated business activities, ensuring that an effective audit trail is present.
* To undertake timely observation assessments of all CRM’s and approve and sign off new to role CRM’s.
* To be responsible for approving financial promotions, financial documentation and web pages.
* To monitor and recommend the delivery of training required by the business lines in general skills, operational procedures and regulatory responsibilities in an effective and compliant manner
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