Reporting directly to the Head of Compliance and working alongside the current Compliance and Risk Team Members, this role is focused on helping to ensure that H2O, its employees, and its products meet the principles and rules set out by regulators.
The remit of our Compliance Team is broad, and so understanding the impact of your work is important. As a Compliance Officer you'll have plenty of scope to add value while developing your commercial skills and knowledge in a fast growing environment. Working alongside teams from across our business, you'll have the chance to gain broad exposure to all aspects of Asset Management including a variety of regulators, financial products, and third party stakeholders.
Key responsibilities of this role will include:
- Ensuring maintenance of key information in respect of regulatory licences/ authorisations etc is carried out;
- Liaising with teams across the business to collate or provide information, research or reports as required.
- Conducting regular updates of, operating procedures and compliance guidelines to reflect the changing regulatory environment and requirements;
- Reviewing marketing materials, presentations, DDQs and the H2O website to ensure compliance with FCA Regulations, SEC, CBI, CFTC & NFAs rules and principles, and the Firm’s policies and procedures;
- Working with Internal and External Auditors and co-ordinating internal teams to ensure successful completion of audits required (including guidance as to applicable regulatory requirements and checks to be performed);
- Preparing reports for Senior Management and Group Compliance on the status of Compliance topics; co-ordinating periodic compliance meetings and meeting packs; and ensuring preparation and review of Annual Reports on Compliance Risk Management and Risk Map;
- Reviewing new offering documents and KIIDs, marketing materials, RFPs, annual reports and websites and ensuring regulatory issues are addressed;
- Monitoring regulatory developments and keeping management duly informed; ensuring that relevant laws, rules and regulations are identified and evaluated in a timely manner and that the practical implications are communicated to relevant staff;
- Providing administrative support to ensure the smooth running of the team, chasing invoices, filing, co-ordinating meetings, etc.
- Proactively developing working practices across the business to improve performance and efficiency with regards to Compliance.
Interested? If you have the below attributes and experience we’d love to hear from you!
- A Bachelors degree in a legal, financial, or business related field.
- A team player with a can-do approach and ambition to learn.
- Interest in working in an complex financial services environment impacted by multiple regulators such as FCA, SEC, CBI, CFTC & NFAs, with multiple funds or products, and with multiple third parties and legal subsidiaries.
- Proficiency in using Microsoft Office – Word, Excel, and Power Point.
- Fluent in written and spoken English.
- A second language would be advantageous (French, Italian, Spanish, German or Japanese).