KEY RESPONSIBILITIES

Compliance Support:

* Support of compliance monitoring and testing procedures in-line with compliance with COBS, SYSC, AML.

* Develop the Compliance Monitoring Plan according to the regulatory risk profile, including business unit, thematic and project reviews.

* Leadership of the Compliance Monitoring Plan and deliver efficient, effective and valued compliance monitoring.

* Review the monitoring output and ensure that any issues are flagged to management and that remedial action is taken promptly.

* Making sure that all processes and procedures adopted reflect the research and interpretation of regulatory bodies rules and guidance.

* Proactively review and evaluate business MI, and where necessary investigate trends to establish if focused monitoring activity is required.

* Delivering successful outcome of reviews by external parties such as regulators, external auditors and internal audit.

* Generate statistics and reports for Board / Governance meetings.

* Review of compliance and risk procedures across all business areas.

* Regular file reviews to ensure that all required client documentation is accurately recorded and filed appropriately to mitigate any associated risk including timely suitability reviews of client services identifying appropriate action where necessary.

* Data gathering and input into the firm's quarterly compliance dashboard reporting tool, annual PCQ return, Gap analysis, T&C scheme etc.

* Occasional desk-based reviews as instructed to ensure that compliance is maintained, and on-going operational risks are identified together with recommendations to strengthen processes and enhance efficiency.

* Assist with developing compliance related measurement processes and KPIs.

* Maintain the firm's gifts and benefits and op-up registers and assist, as required, in maintaining the complaints register.

* Help to develop and implement the firm's conduct risk agenda.

* Provide information to staff regarding company compliance procedures.

* Carry out transaction monitoring and trade surveillance for suspicious transactions and best execution.

* Oversee AML/KYC for client on boarding.

KNOWLEDGE, EXPERIENCE & QUALIFICATIONS

KEY COMPETENCIES

* University degree essential (Degree in Law is desirable)

* CISI qualifications

* Thorough understanding of the front to back hedge fund trade operations, groups involved, and how decisions impact each area

* Regulatory knowledge: broad understanding of the FCA handbook

* Technically minded who can automate and improve processes

* Proficient IT skills and MS office suite

* Confident and proactive in communicating with people at all levels.

* Team player with the ability to foster close working relationships with colleagues.

* Results orientated with a strong bias for action and outcome.

* Excellent communication skills both verbal and written.

EXPERIENCE

* 1+ years' experience in a similar role essential

* Experience in regulatory compliance, AIFMD and MIFID