Compliance Manager (Product & Financial Promotions)

at  ValuTrac Investment Management Ltd

COMPANY INFORMATION

Established in 1985, Valu-Trac is an independent Authorised Fund Manager (AFM), Investment Management and Administration Services provider within the regulated financial services and investment industry. At Valu-Trac we operate a 3 lines of defence model to assist the business to operate in line with all regulatory and legal requirements. We are an ever-growing company with over 100 employees, and £16bn of assets under management.
The Risk and Compliance Department acts as a second line, advising and supporting the business on all regulatory matters ensuring that each key function is managed in accordance with the relevant regulations and industry best practice.

The Risk and Compliance Department is responsible for:

• Overseeing Enterprise Risk Management
• Recording and reporting incidents and breaches
• Regular and thematic compliance monitoring
• Regular and ad-hoc regulatory reporting
• Anti-money laundering and countering terrorist financing oversight
• Internal and External reporting and reviews
• Oversight of internal policies and frameworks

DESIRABLE SKILLS, KNOWLEDGE AND EXPERIENCE:

• Excellent written and verbal communication skills. Ability to effectively communicate complex concepts.
• Strong analytical and numerical abilities with attention to detail.
• Understanding of FCA regulations and compliance requirements.
• Proficient in Microsoft Office Suite; familiarity with data analysis tools.
• Ability to work collaboratively in a team-oriented environment.
• Willingness to learn and adapt in a fast-paced, dynamic regulatory environment.
• Strong organisational and problem-solving skills with the ability to handle multiple tasks effectively.
• Self starter: Ability to organise themselves and tasks, and work to tight deadlines.
• Strong interpersonal skills, diversity of thought, complementary skills and capabilities.

THE ROLE

The Compliance Manager (Product & Financial Promotions) will report to the Senior Compliance Manager.
There are no direct reports to the Compliance Manager (Product & Financial Promotions), and this is not a Certification Function in relation to SM&CR.

The main responsibilities for the role include:

• Reviewing and advising on all elements of Fund documentation to be submitted to the regulator, including but not limited to:

oForm 21
oProspectuses
oKey Investor Information Disclosures
oInstruments of Incorporation

oLetters to Investors

• Reviewing, advising and, where appropriate, approving fund financial promotion documentation, including but not limited to:

oFactsheets
oPresentations
oWebsites and,

oOther forms of fund related electronic communications.

• Tracking and staying up to date with relevant regulations regarding product literature and advising the firm as required.
• Assisting the Senior Compliance Manager with investigating and responding to investor complaints as required. Including production of lessons learned reviews and advising the firm on improvements to processes where applicable.
• Collaboration:

oProactive and effective collaboration with internal teams (Product Governance, Investment Management Oversight, Fund Operations, IT etc.) to support the effective oversight the firm
oLiaise with external stakeholders, including legal counsel, custodians, and auditors, as may be required

oContribute to ad hoc projects, that may be required within the broader Valu-Trac Risk & Compliance team.

• Other responsibilities and requirements as may arise during the normal course of business operations.

The Risk and Compliance Department is responsible for:

• Overseeing Enterprise Risk Management
• Recording and reporting incidents and breaches
• Regular and thematic compliance monitoring
• Regular and ad-hoc regulatory reporting
• Anti-money laundering and countering terrorist financing oversight
• Internal and External reporting and reviews
• Oversight of internal policies and framework