Compliance Monitoring Specialist to work within an Independent Regulatory Hosting Business

ZipRecruiter; England; On-site; GBP 40,000 - 60,000; Full time

Job summary

ZipRecruiter seeks a Compliance Monitoring Specialist to oversee clients' compliance with regulations in the UK. The role involves managing client interactions, conducting compliance monitoring, and contributing to the development of compliance policies in a dynamic environment. Candidates should possess strong communication skills and relevant experience in FCA-regulated firms.

Qualifications

• Relevant experience at an FCA-regulated firm or compliance consulting role.
• Knowledge of UK AIFMD, MiFID, and willingness to learn about other regulations.
• Ability to manage multiple client interactions.

Responsibilities

• Ensure compliance with relevant rules and regulations for clients.
• Conduct regular compliance monitoring and provide ongoing advice.
• Assist in developing compliance policies and procedures.

Skills

Proactive communication

Verbal skills

Written skills

Presentation skills

Job description

Job Description

Compliance Monitoring Specialist

Each Monitoring Specialist will have clients ranging from investment managers to appointed representatives. They provide compliance oversight, advice and complete the firm’s compliance monitoring program for each of their clients. The role offers exposure to various investment strategies and regulated activities. The successful candidate will work with a wide range of businesses, such as new start-ups and non-UK firms looking to establish a UK presence.

Responsibilities Include

The primary focus of the role is to ensure that clients conduct their regulated activities in compliance with relevant rules and regulations, and in accordance with the compliance monitoring programme, compliance policies and compliance procedures of V&P, maintaining the strong reputation of V&P’s regulatory hosting platform.

Project managing new client take on alongside our onboarding team and preparation of new business committee reports. Client Compliance Infrastructure set-up, working with clients to customise V&P’s compliance collateral to their business. You will conduct regular (typically monthly) compliance monitoring of each of your clients and provide ongoing advice and assistance, so knowledge of the UK’s AR, MiFID and AIFMD regimes are key, and knowledge of EU regulations, CFTC and SEC would be an advantage.

The successful candidate will manage their own clients with the support of the larger team to ensure that within our clients all regulated activities are conducted appropriately and that the risk of financial crime is mitigated. You will also make sure that conflicts of interest are assessed and updated, and mitigating controls and actions are in place. Other regular activities will include the oversight of each client's code of ethics issues (review and approval of PAD, G&E, OBIs) and, for some ARs, review and approval of financial promotions.

As the role develops, the Monitoring Specialist will also assist in the maintenance and development of V&P’s compliance policies and procedures, so that they remain up to date with all appropriate regulations and relevant to all clients.This will include participation at and membership of, certain internal committees and working groups (such as the Compliance Committee).

We believe in engaging with our clients face-to-face or via Teams /Zoom to build relationships and ensure strong and effective compliance oversight is implemented.

Our Firm

Vittoria and Partners are proud to be privately owned we treat everyone as a partner, so each person’s hopes and opinions are listened to and considered.We believe that it is of paramount importance that we do not simply measure our success in terms of the financial success of the firm it is important, but we want Vittoria and Partners to be a great place to work. We are committed to driving a sustainable business that is both commercially successful and socially and environmentally responsible. Our ownership structure ensures that everyone has a significant vested interest in ensuring the success of the firm This includes providing our employees in the UK and Malta with a safe and healthy working environment and having an organisational culture that promotes , inclusivity, personal development, and respect. We want people to enjoy coming to work and for the workplace to be free from discrimination, harassment, and victimization.

Disabled applicants are encouragedto contact [e-mail] to identify any additional support they may need during the recruitment.

Experience Required

Relevant experience working in-house at an FCA-regulated firm or in a compliance consulting role;

Experience in the relevant regulatory environments including but not limited to UK AIFMD, and MiFID, andawillingness to learn about others such as the UK Appointed Representative regime and overseas regulators such as CFTC and SEC.

Ability to manage multiple client interactions

Proactive communication and approach with excellent verbal, written, and presentation skills.