The role

• Supporting and managing monthly, quarterly and annual compliance monitoring reviews.
• Report writing of monitoring reviews and the management of tracking actions until completion.
• Supporting and managing review of financial promotions and other marketing presentations and materials.
• Manage ongoing third-party due diligence requirements.
• Supporting and managing periodic FCA filings: FCA RegData (monthly/quarterly/annually); and FCA Connect (ad hoc)
• Assisting with SM&CR requirements
• Assisting in preparation of training material relevant to key regulatory updates.
• Assisting with the completion and collation of: Employee Certification Forms (annual); and Code of Ethics (Personal Account Dealing) (quarterly)
• Maintain registered e.g Conflicts of interest Register/Log, etc and related documentation.
• Collation of documents/information to support monthly, quarterly and annual Canadian and US regulatory filings.
• Management of Compliance Calendar and follow through on actions required by team.
• Supporting on annual review of firm's compliance policies.
• Assist with ad hoc projects and tasks, as required.
• Ensure that your personal conduct complies in all respects with the Individual Conduct Rules prescribed by the FCA in the Code of Conduct for Staff Sourcebook, namely:
•