Compliance Technical Specialist

THE COMPANY:
Our client is a global investment management firm, offering robust pension solutions for academic professionals. With a commitment to financial security, their comprehensive plans and transparent approach make them a reliable choice.
THE RESPONSIBILITIES:
Managing and reporting on regulatory projects, including advising on and supporting the business in implementing regulatory change. Support the Compliance Monitoring team with mapping and interpretation of key regulatory requirements as are applicable to the annual Compliance Monitoring Plan, as required. Assist in the design and maintenance of the compliance training content. Support the delivery of the Compliance team’s key processes and controls, production of monthly MI, KRI/KPI and risk reporting. Lead on tracking regulatory horizon developments in the UK as they relate to financial crime. Support on tracking regulatory horizon developments as they relate to The Pensions Regulator. Lead on the completion of the annual Group Financial Crime Risk Assessments. Assist the MLRO to prepare the annual MLRO Report. Manage and oversee updates to the framework of Compliance Policies, Manuals and Procedures, including approvals via relevant committees. Manage and oversee responses to counterparty diligence requests. Support the Operational Due Diligence Team on visits and reviews of external managers and key suppliers. Lead on Compliance review and approval of corporate communications and member collateral. Lead and facilitate the production of consumer duty dashboards, and associated reporting.
EXPERIENCE REQUIRED:
Thorough knowledge of UK regulatory framework, including the UK’s measures to combat financial crime. A good understanding (and maintenance of understanding) of rules and regulations (FCA and tPR) on defined contribution pension schemes as they relate to and apply in practice to the group. A willingness to develop relationships at all levels in delivering pragmatic and proportionate compliance support, advice, monitoring and training solutions within Public and, Private Markets Groups. Demonstrable experience of managing compliance tasks such as compliance framework implementation and delivery of technical compliance advice. Demonstrable experience of dealing with the regulatory change agenda in the asset management sector. Understanding of different asset classes, including equity, credit, fixed income, derivatives and alternative investments. Excellent working knowledge of FCA rules and industry best practice.
For further information please contact Spencer Evans
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