Client area

Our sister company Avellemy is recruiting a Compliance Specialist to work across various locations.

Reporting to:

Compliance Advisory Manager

Purpose

  • To lead, oversee and manage the day to day compliance and operational aspects of Avellemy, ensuring issues and risks of a compliance and regulatory nature are appropriately managed. Ensure compliance maintains a culture of high-quality customer care and compliance advisory support to the business within agreed regulatory control frameworks.
  • This is a certification function role.

Responsibilities

  • Develop a thorough understanding of the business and regulatory landscape Avellemy operates within.
  • Provide compliance advice, guidance and direction to the business on the legislative and regulatory requirements and impact of these requirements, as well as regulatory change, and ensuring application and control mechanisms are understood and consistently embedded.
  • Ensure there are effective compliance policies, procedures and controls in place in line with Avellemy‚Äôs regulatory obligations and expectations, including but not limited the requirements if MiFID, GDPR, SMRC, AMLD, etc.
  • Develop a good understanding of the business, identify ways of improving upon practices with compliance to help deliver a service above basic regulatory and legislative requirements that enhance growth and success.
  • Provide 2nd line challenge and oversight to the investment team, including performing post trade surveillance and investment mandate adherence.
  • Maintain effective control frameworks for incident reporting, conflicts management, PA dealing, market abuse, best execution.

Responsibilities - continued

  • Ensure compliance risks are appropriately identified and managed effectively, providing direction on corrective measures to the compliance advisory team and business alike so that these risks remain within acceptable and agreed parameters.
  • Liaise with the compliance monitoring manager with respect to the delivery of the Avellemy compliance monitoring plan and oversight of third-party managers.
  • Form part of the review and approval process in respect of financial promotions issues by Avellemy.
  • Assist in the production and presentation of compliance reports and compliance MI to various boards and committees.
  • Promote a good risk and compliance culture at Ascot Lloyd.

Experience and core skills

  • Investment management experience
  • Significant experience of working in compliance and understanding of the FCA rules
  • Confident guiding senior executives on compliance matters
  • Able to train and support Ascot Lloyd employees
  • Confident solving complex compliance related problems
  • Experience of improving processes to ensure the company is compliant and performing effectively
  • Proficient in MS Word, Outlook, PowerPoint and Excel
  • Good communicator, both written and verbal
  • Keen eye for detail and accuracy
     

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