We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion.
Requirements
- 5+ years’ broad-based experience in a compliance role within a financial services firm, with strong exposure to compliance monitoring activities.
- Thorough understanding of the Appointed Representative and Principal Firm model and associated regulatory obligations.
- Strong technical knowledge of FCA regulatory frameworks relevant to authorised firms, particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements.
- Experience managing or overseeing teams, with the ability to provide guidance, conduct quality assurance reviews, support issue resolution, and drive performance improvement.
- Excellent stakeholder and relationship management skills, including conflict resolution, with confidence presenting reports and management information to senior management and committees.
- Highly organised with strong project management, documentation, formatting, and record-keeping skills, with the ability to plan, deliver to agreed deadlines, and manage issues effectively.
Benefits
- Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
- Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
- Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
- Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
- Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day.
