Compliance Manager

Atrato; London; On-site; GBP 50,000 - 75,000; Full time

Job summary

Atrato is seeking a Compliance Officer to oversee all compliance-related functions, ensuring adherence to regulations and managing risks within the organization. The role includes various responsibilities such as providing regulatory advice, administering risk management frameworks, and facilitating compliance training programs. Ideal candidates will have a solid background in compliance and risk management, along with strong skills in documentation management and regulatory reporting.

Qualifications

• Strong understanding of FCA regulations and compliance.
• Experience in compliance training and risk assessments.
• Ability to maintain documentation and manage compliance programmes.

Responsibilities

• Administer the risk management framework and assess compliance.
• Provide regulatory advice and ensure adherence to policies.
• Deliver compliance training and maintain compliant relationships.

Skills

Risk Management

Compliance

Data Protection

Anti-Money Laundering

Job description

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OVERALL PURPOSE OF ROLE:

To facilitate, monitor and ensure that the organisation is conducting its business in full compliance with all national, international legislation and regulations that relate to the operation of a Collective Portfolio Management Investment Firm (CPMI), as well as professional standards, accepted business practices, and internal standards to deliver good regulatory and compliance outcomes

Administer the risk management framework through the provision of assessments, registers and controls providing key advise on risk management were necessary.

Assisting all departments in relation to organisational governance, compliance, AML and risk.

Ensure adherence to General Data Protection Regulations (GDPR) assisting the firms' data champion in operational delivery of the requirements.

Complete and file FCA reports in addition to filings that may be required for the further development of the firms operational and business goals; and

Support the enforcement of compliance policies and regulations in all aspects and provide guidance and facilitate staff development in support.

Undertake monitoring and testing in accordance with the firms plan and regulatory requirements. This will include the assessment of the reporting requirements to clients and overseeing the firms adherence to AIF prospectus

MAIN ACTIVITIES & KEY TASKS:

1. Maintaining and processing all necessary documentation required by the Group in accordance with FCA requirements and any other applicable regulations.
2. Review all forms of marketing material to ensure compliance with all relevant regulations.
3. Continuously review contract negotiations with existing customers, new customers and suppliers from a compliance viewpoint.
4. Provide regulatory advice to Atrato Group, and where necessary; develop, implement and manage the compliance programme related to expanding Atrato Group's business (e.g., strategies', funds, geographic areas, business lines, regulatory permissions).
5. Administration of all Compliance policies, procedures and internal controls ensuring these are properly documented, regularly reviewed, and tested for understanding to mitigate risk to the Group.
6. Ensure Atrato Group Management Team is kept informed of its regulatory obligations under SMCR.
7. Ensure compliance with regulatory requirements and adherence by staff to company operational policies.
8. Support the implementation of the compliance agenda supporting SMF16/17 plans around this.
9. Responsibility for the administration of risk impacting Atrato Group.
10. Delivery of compliance training programmes for appropriate staff.
11. Support compliance initiatives and ensure that these priorities agreed with the firm's governing body are communicated appropriately.
12. Prepare required reports for, communicating with, and receiving documentation from the FCA and other regulators.
13. Develop and maintain effective relationships with business partners and industry peers as appropriate to understand business needs and opportunities, to assess and articulate regulatory risks associated with existing and/or new business activities, and to provide a framework to enable well informed business decisions relative to regulatory risks.
14. Responsible for maintaining the Group's anti-money laundering systems and controls to meet compliance obligations, including client and counterparty reviews and onboarding/KYC.
15. Identify and assess money-laundering risk and report to the MLRO on all matters concerning the AML function.