The role

• To monitor, interpret, and share with teams and senior management new legislation or regulation and changes to existing legislation and regulation
• To provide regulatory advice to teams and senior management either on an ad-hoc basis or in respect of change programs
• Review applicable rules, guidance and other applicable documents, in order to produce policies, target operating models, operating statements or procedures etc relevant for the compliance department or firm as a whole based upon the products and services being offered from time-to-time.
• To collate any information required in respect of information requests
• To conduct, review and update any risk related documents or frameworks including risk appetite statements, risk related policies or procedures
• To challenge the methodology, terminology and outcome determinations on risk assessments
• Assist the development of an annual compliance training plan
• Create and deliver tailored training on regulatory themes
• Monitor completion of compliance training programs
• Assist in the collation of management information required for inserting into committee packs
• Attend, contribute, and provide challenge to applicable governance bodies
• Create and maintain the approved compliance monitoring framework
• Assist in the creation of an annual compliance monitoring plan
• Execute reviews detailed within an annual compliance monitoring plan
• Assist in supervising the compliance analyst(s) in the reviews and reports undertaken, ensure the execution of the plan and the issue tracker log are well maintained.
• Deputise for the Head of Compliance when requested
• Assist in the delivery of the annual compliance plan
• Create and maintain applicable policies and procedures
• Record and investigate incidents with regulatory impact
• Record and investigate complaints
• Ensure compliance records are accurate and up to date.
• Perform the role in line with Code of Conduct and the Firm’s values

• ExperienceA minimum of 5 years of experience working within the financial services industry
• A minimum of 2 years of experience working within a senior compliance role
• Experience of working for a Corporate Finance firm or are familiar with products and services offered by a Corporate Finance firm

The role

• To monitor, interpret, and share with teams and senior management new legislation or regulation and changes to existing legislation and regulation
• To provide regulatory advice to teams and senior management either on an ad-hoc basis or in respect of change programs
• Review applicable rules, guidance and other applicable documents, in order to produce policies, target operating models, operating statements or procedures etc relevant for the compliance department or firm as a whole based upon the products and services being offered from time-to-time.
• To collate any information required in respect of information requests
• To conduct, review and update any risk related documents or frameworks including risk appetite statements, risk related policies or procedures
• To challenge the methodology, terminology and outcome determinations on risk assessments
• Assist the development of an annual compliance training plan
• Create and deliver tailored training on regulatory themes
• Monitor completion of compliance training programs
• Assist in the collation of management information required for inserting into committee packs
• Attend, contribute, and provide challenge to applicable governance bodies
• Create and maintain the approved compliance monitoring framework
• Assist in the creation of an annual compliance monitoring plan
• Execute reviews detailed within an annual compliance monitoring plan
• Assist in supervising the compliance analyst(s) in the reviews and reports undertaken, ensure the execution of the plan and the issue tracker log are well maintained.
• Deputise for the Head of Compliance when requested
• Assist in the delivery of the annual compliance plan
• Create and maintain applicable policies and procedures
• Record and investigate incidents with regulatory impact
• Record and investigate complaints
• Ensure compliance records are accurate and up to date.
• Perform the role in line with Code of Conduct and the Firm’s values

• ExperienceA minimum of 5 years of experience working within the financial services industry
• A minimum of 2 years of experience working within a senior compliance role
• Experience of working for a Corporate Finance firm or are familiar with products and services offered by a Corporate Finance firm