Acquisitions Compliance Manager
Perspective Financial Group Ltd / Group Regulatory & Compliance
Job Description
You will assist the Head of Acquisitions Compliance with Regulatory Due Diligence exercises, comprising reviews of systems and controls, suitability of advice, identification of risks and understanding a target firm’s culture all of which will be summarised in a formal written Report for Board consideration.
Office: Perspective Financial Group Ltd
Location: Home Based
Hours: Monday – Friday 9am to 5pm with a one-hour break (35 hours)
Salary: Competitive, dependant on experience and qualifications (available upon request)
Job Requirements
- Have experience working for a consultancy or compliance service provider or contributing to Regulatory Due Diligence exercises.
- Have a high level of attention to detail and have an analytical and inquisitive mind.
- Be comfortable writing up findings in a clear, concise and professional way to contribute to wider Reports.
- Understand FCA rules and regulation. A sound understanding of COBS, TC and FIT would be advantageous.
- Ability to identify potential risks to the business and offer risk mitigation solutions.
- Alert relevant parties to ‘red flags’ or ‘concerns’ that emerge during the due diligence process, with well-reasoned rationale.
- Able to work independently and meet deadlines.
- Comfortable in a high growth and ever-changing business.
- Proficient in analysing data sets in excel, competent user of formulas with experience in cleansing data & able to perform data trend analysis & troubleshooting.
- An understanding of Financial Services products, providers & funds would be advantageous.
- Competent working with a range of Office 365 applications, particularly Teams, Sharepoint, Excel, Word and Outlook.
Job Responsibilities
The key duties of the role are listed below. Due to the nature of the business, the role may also include additional responsibilities considered reasonable:
- Support the execution of regulatory due diligence and assist in ensuring findings/conclusions are appropriately considered in line with regulatory and internal compliance requirements.
- Identify regulatory risks, escalating significant concerns to the Head of Acquisitions Compliance.
- Preparation and review of monthly reports.
- Assist and support in other areas of Compliance as required.
Job Benefits
25 days holiday (rising with length of service) plus Bank Holidays, Holiday Purchase Scheme and Birthday leave. E-Discounts, Electric Car Scheme, Life Assurance, Pension and Corporate Eyecare.
