Job Title:
Risk & Compliance Manager (Reg focused) Location:
Hybrid - Remote/London Department:
Compliance & Risk Reports To:
Head of Compliance & Risk Rate:
Up to £530pd Inside IR35 Contract:
Initial 6 months with extension possibilities Start Date:
End of Jan The Role:
The Compliance & Risk Manager is responsible for providing regulatory and risk framework advice to ensure compliance with regulatory obligations and promote optimal client outcomes. Main Tasks:
Regulatory Advice:
Provide internal advice on regulatory matters, including: Authorisation:
Rules and processes for establishing and operating authorised schemes. Documentation and Disclosure:
The importance of clear and comprehensive fund documentation. Management and Governance:
Responsibilities of the Authorised Fund Manager (AFM) and depositary, and rules for ensuring effective management and oversight of the scheme. Investor Relations:
Rules for marketing, distributing, and communicating with investors, including disclosure requirements such as Key Investor Information Documents (KIIDs). Investment Powers and Borrowing Limits:
Guidelines for the types of investments a scheme can make and restrictions on leverage and borrowing to manage risk. Pricing and Dealing:
Rules for valuing fund assets and pricing units/shares, and procedures for subscriptions, redemptions, and transfers. Financial Reporting:
Requirements for preparing and filing financial reports, and auditing standards for collective investment schemes. Regulatory Reporting:
Obligations for reporting to the FCA, including notifications of breaches or changes. Specialised Rules for Specific Schemes:
Additional rules for UCITS, NURS, and QIS schemes to address their unique characteristics. FCA Handbook Knowledge:
Maintain expertise in the FCA Handbook, including COBS, DISP, and CASS. Risk & Control Assessments:
Coordinate and oversee risk & control self-assessments for the Compliance function and provide advice on First Line assessments. Governance Support:
Advise governing bodies and committees on compliance matters. Regulatory Framework Application:
Support the practical application of regulatory frameworks within the business. Regulatory Change Monitoring:
Monitor regulatory updates, assess their impact, and oversee their implementation. Management Information:
Provide management information to the Head of Compliance & Risk and relevant committees. Procedure Coordination:
Coordinate compliance procedures in line with internal standards and business goals. Diversity and Inclusion:
Promote and support diversity and inclusion in accordance with FCA objectives. Qualifications and Skills:
Extensive knowledge of regulatory frameworks and the FCA Handbook. Strong understanding of risk management processes. Excellent communication and advisory skills. Ability to assess and implement regulatory changes. Commitment to promoting diversity and inclusion in the financial sector. This role requires a proactive individual with expertise in regulatory compliance and risk management to support the organisation's operations effectively.
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Risk & Compliance Manager (Reg focused) Location:
Hybrid - Remote/London Department:
Compliance & Risk Reports To:
Head of Compliance & Risk Rate:
Up to £530pd Inside IR35 Contract:
Initial 6 months with extension possibilities Start Date:
End of Jan The Role:
The Compliance & Risk Manager is responsible for providing regulatory and risk framework advice to ensure compliance with regulatory obligations and promote optimal client outcomes. Main Tasks:
Regulatory Advice:
Provide internal advice on regulatory matters, including: Authorisation:
Rules and processes for establishing and operating authorised schemes. Documentation and Disclosure:
The importance of clear and comprehensive fund documentation. Management and Governance:
Responsibilities of the Authorised Fund Manager (AFM) and depositary, and rules for ensuring effective management and oversight of the scheme. Investor Relations:
Rules for marketing, distributing, and communicating with investors, including disclosure requirements such as Key Investor Information Documents (KIIDs). Investment Powers and Borrowing Limits:
Guidelines for the types of investments a scheme can make and restrictions on leverage and borrowing to manage risk. Pricing and Dealing:
Rules for valuing fund assets and pricing units/shares, and procedures for subscriptions, redemptions, and transfers. Financial Reporting:
Requirements for preparing and filing financial reports, and auditing standards for collective investment schemes. Regulatory Reporting:
Obligations for reporting to the FCA, including notifications of breaches or changes. Specialised Rules for Specific Schemes:
Additional rules for UCITS, NURS, and QIS schemes to address their unique characteristics. FCA Handbook Knowledge:
Maintain expertise in the FCA Handbook, including COBS, DISP, and CASS. Risk & Control Assessments:
Coordinate and oversee risk & control self-assessments for the Compliance function and provide advice on First Line assessments. Governance Support:
Advise governing bodies and committees on compliance matters. Regulatory Framework Application:
Support the practical application of regulatory frameworks within the business. Regulatory Change Monitoring:
Monitor regulatory updates, assess their impact, and oversee their implementation. Management Information:
Provide management information to the Head of Compliance & Risk and relevant committees. Procedure Coordination:
Coordinate compliance procedures in line with internal standards and business goals. Diversity and Inclusion:
Promote and support diversity and inclusion in accordance with FCA objectives. Qualifications and Skills:
Extensive knowledge of regulatory frameworks and the FCA Handbook. Strong understanding of risk management processes. Excellent communication and advisory skills. Ability to assess and implement regulatory changes. Commitment to promoting diversity and inclusion in the financial sector. This role requires a proactive individual with expertise in regulatory compliance and risk management to support the organisation's operations effectively.
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