Compliance Consultant (Fund Regulatory Compliance) - 12 month FTC

Job content

Location: Any UK location considered, occasional travel to Cirencester Head Office may be required (hybrid working available).

Main Purpose of role:

As Fund Regulatory Compliance Consultant, you’ll act as the right-hand person to the Head of Fund Regulatory Compliance, supporting them to deliver the framework which ensures the regulatory and operational compliance of the Group’s unitised funds.

Responsible for the timely implementation of fund regulatory change and oversight of all fund related changes (ex IMA) and associated reporting internally, externally and regulatory.

What you’ll be doing:

• Maintain the framework to evidence the ongoing operational and regulatory compliance of the Group’s unitised funds.
• Maintain an accurate record of regulatory developments and oversight of implementation through Funds Regulatory Group.
• Maintain the framework for assessing and overseeing all fund related changes (ex IMA) through Funds Technical Group.
• Facilitate the fund operational and compliance policy framework and associated reporting (including FCA, SFC, MAS, regulatory, ExCo & Board reporting).
• Maintain an accurate register of breaches, incidents and operational risks and facilitate breach reporting to NatWest Trustee & Depositary Services (NWTDS).
• Act as Secretary to Funds Technical Group and Chair of Funds Regulatory Group to ensure that implementation and actions are completed by the division and other relevant business areas.
• Deputise as appropriate for Head of Fund Regulatory Compliance.
• Facilitate regular NWTDS Service Review Meetings to maintain oversight of responsibilities and performance including third parties.
  
  

What we’re looking for:

• Specialist knowledge of collective investment regulations, investment operations and investment management to enable the provision of independent judgement and advice.
• Experienced in analysing new and/or changing regulations to identify impacts.
• Relevant industry experience in a similar role to support acting independently.
• CISI Affiliate or similar industry qualification/membership.
• Sound knowledge of the different regulatory jurisdictions which SJP operates.
• You’ll develop a good awareness of Investment Division systems e.g. Aladdin, ADA, and Investment DataHub.
• Specialist knowledge of Collective Investment Schemes, FCA rulebooks COLL, COBS & SYSC to enable investigation, solution proposals and decision making.
• Diplomatic and engaging approach to dealing with stakeholders.
• Ability to communicate and engage at a senior level to discuss sensitive information and act with diplomacy both internally and externally.
• Ability to negotiate and act independently and propose solutions in line with regulatory requirements and to meet business needs.
  
  

Other:

• Occasional requirement to travel off site within the UK and potentially overseas.
  
  

Flexible Working

We know that everyone works best in different ways, at different times and in different environments. We value all of our employees and appreciate that everyone is different, and at different stages within their career. Recognising this, we have introduced a hybrid working policy to provide greater flexibility for part-time work, job-sharing, remote working, and flexibility on hours. Our people are encouraged to work in a flexible way that suits their lifestyle, so please ask the question and start a conversation!

Research tells us that applicants (especially those from underrepresented groups) can be put off from applying for a role if they do not meet all the criteria, or have been on an extended career-break. If you think you would be a good match for this role and can demonstrate some transferable experience please apply, regardless of whether you tick every box.

Our Rewards

In addition to an attractive salary, you will also receive an excellent benefit package including:

• Non-Contributory Pension – 10% (increasing with length of service) with further pension matching
• *Meaningful protection benefits with real value, such as 10X life cover, PHI, and critical illness.
• Best in class terms and conditions including 6 months paid maternity and paternity leave.
• Private Medical and Dental Insurance
• 28 days holiday entitlement plus bank holidays (based on full-time equivalent) with the option to buy an additional up to 5 days
• Discretionary bonus scheme dependent on company and personal performance, varied by level
• Not applicable to fixed term contracts (standard uplift applies in lieu of these benefits)
  
  

Our Culture

Our culture is the glue that binds us together - It’s one of our biggest assets and one of the biggest reasons for our success. It’s underpinned by core values of doing the right thing, being the best version of ourselves and investing in long term relationships.

We want to embrace diverse backgrounds and experiences to connect with clients, solve problems and innovate. We raise our voice on the things that matter to us and drive change from the front. Contributing to our inclusive culture is vital, ensuring a space for everyone to be their authentic self, no compromises.

In all we do, we consider how our work affects the communities in which we belong. Over 96% of our group employees are involved in supporting our communities through financial education, charitable giving and volunteering. Over 80% of all our employees and Partners donate each month to our Charitable Foundation, which is now the 3rd largest corporate charity in UK.

SJP are delighted to have signed The Armed Forces Covenant, and we are active members of LGBT Great, 30% club, The Diversity Project, Disability Confident and more! Find out more: https://www.sjp.co.uk/careers/life-at-sjp

Our Awards

We understand it’s important to be proud of the company you work for, that’s why we’re proud to share with you some of our recent awards:

Wealth Manager of the Year – Growth Investor Awards 2021 Best Wealth Manager – Shares Awards 2021 Championing LGBTQ Inclusion - Financial Adviser Diversity in Finance Awards 2020 Top 75 Employer - Social Mobility Foundation Employer Index 2021

To find out more visit: https://www.sjp.co.uk/about-us/our-awards-and-recognition

How To Apply

To apply for this role please click on the Apply button below.

We occasionally close vacancies early due to high volumes of applications. We would therefore recommend you complete your application prior to the closing date which is for guidance only.