Senior Compliance Officer - Contractor role - 6 months - Daily rate £400 - £600 per day



Main purpose of job: The role of is to promote and provide access to an investment service and deposit products not-for-profit organisations. The client works with a number of different fund management houses to provide access to funds and services that are designed to meet the needs of the their sector To be accountable for delivering rigorous and effective technical, regulatory advice to the client on these funds, fund based platforms associated financial promotions in line with the business model and strategy. MIFID II knowledge and understanding essential to fulfil this role.



* To be responsible for leading and providing rigorous and accurate guidance and regulatory support to senior management and other colleagues across the business to enable informed decisions to be made on key issues relevant to the business model and strategy.
* To be responsible for providing accurate and rigorous technical assessments of regulatory permissions.
* To deliver an environment in line with industry and regulatory requirements, ensuring key regulatory risks are understood in particular MiFID II and distribution status and with an appropriate framework to manage and control them (i.e. includes interpretation of regulatory permissions against the business activities
* To be responsible for leading an effective risk-based monitoring program ensuring business delivery complies with applicable regulatory and industry best practice and enhancing this program where necessary to reflect changes to strategy, business model and regulatory requirements. To prepare reports and papers on compliance and any other subject related matters for discussion at Board, Group Audit, Risk and Compliance Committee, external or internal meetings. Review trends and recommend reviews of strategic operations and activity where

Experience

Detailed knowledge of fund based regulated compliance, in-depth knowledge of MIFID and MIFID II to enable candidate to provide accurate and rigorous technical and regulatory advice.

Comprehensive knowledge of compliance monitoring plans for fund based financial services and ability to enhance current plan to meet business activities and MIFID II regulatory requirements.

Degree/Diploma or equivalent

Appropriate qualification and up to date CPD

Prior experience operating at a senior compliance or risk role.

Significant experience of FCA regulation within a regulated financial or supervisory environment of fund services /fund platforms to enable the candidate to hit the ground running and with minimal oversight.

Frontline/business experience within this area of financial services.

Knowledge of regulatory requirements for financial products

Experience of marketing deposit products.

Connect2staff are acting as an employment agency in relation to this role

Commercial Services Kent/Trading Ltd is an equal opportunities Employment Agency & Business and positively encourages applications from all suitably qualified and eligible candidates.