Responsibilities
:
1. Develop and implementpliance frameworks, policies, and processes across the organisation
2. Conduct advisory reviews and develop strategies to mitigate risks
3. Collaborate with internal stakeholders for a coordinatedpliance approach
4. Provide guidance onpliance matters, including new products and marketing materials
5. Oversee the preparation ofpliance MI and demonstratepliance with Consumer Duty
6. Maintain registers and control room functions
7. Support the Head ofpliance with FCA engagements and periodic filings
8. Foster the growth and development of thepliance team
Skills and Experience:
9. Experience in apliance role within wealth or asset management
10. Understanding of equities market and corporate finance activities is a plus
11. In-depth knowledge of regulatory requirements (Conduct of Business, Systems and Controls, SMCR, Financial Promotions, Market Abuse)
12. Experience in designing and implementing regulatory frameworks is desirable
13. Strong execution skills and resilience under pressure
14. Excellentmunication and stakeholder management skills
Qualifications:
15. Professional qualifications inpliance, such as Diploma in Investmentpliance (desirable)
16. Degree in Law, Economics, Finance, or a related field (desirable)
Reporting To: Head ofpliance
Location: Hybrid, with office based in London
Job ID Rootsboutiquemgmr