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About The Role
We are looking for a highly experienced compliance professional who will take the lead on industry compliance standards, improve and monitor regulatory controls throughout Progeny Asset Management (PAM).
Key Responsibilities
- Provide assurance and advice on regulatory risks to the CRO, and other executive, senior management teams, committees and their members as necessary.
- Ensure relevant Progeny Asset Management compliance policy and controls are created, managed, and communicated effectively throughout all its UK branches.
- Ensure regulatory reports are submitted timely and accurately.
- Oversee operational resilience to ensure that this meets the firm’s regulatory obligations and report any concerns or breaches.
- Ensure that regulatory developments are tracked appropriately and their relevance and impact are communicated to the business in good time, with recommended actions where appropriate.
- Liaise at all times with the chosen Custodian where appropriate, to ensure compliance with Investment Manager obligations.
- Consult on any regulatory change project.
- Liaise at all times with the ACD to ensure compliance with fund manufacturer obligations.
- Identify, monitor, assess and oversee risk, feeding into Progeny’s group risk frameworks as necessary.
- Liaise with PII and provide any required details timely manner to ensure the continuation of PII cover.
- Identify, monitor, assess and oversee risks and associated risks relating to the MGTS Progeny Funds and maintain a fund risk dashboard. Ensuring these are embedded.
- Ensure that all incidents and breaches are captured, assessed and effectively addressed. Submit reports to the ACD, the regulator or appropriate authorities where necessary. Ensure that compensation, where required, is paid as appropriate and that effective remedial action is taken to prevent recurrence.
- Support all business initiatives as requested by CRO and Senior Management.
- Lead, manage and support the UK Progeny Asset Management Compliance team so that they can effectively discharge their duties with care, skill and diligence.
- Organise business workflows effectively in order to meet regulatory and business obligations and objectives, both timely and of a high standard.
- Any other task that may be required by the CRO, commensurate with the role.
Leadership Responsibilities And Accountabilities
- Contributing to long-term goals around developing the business, and posses excellent judgement to balance commercial and compliance risks to achieve positive outcomes for the firm and its clients.
- Positively advocate the business, its vision and values as a Company-wide representative of Progeny.
- Contribute to and participate in Progeny Asset Management senior management team meetings when required
- Fully utilise all available MI to help inform decision making and feedback relevant information to the respective teams.
- Consult with the Fund Investment Committee when appropriate.
- Ensure appropriate systems and controls are in place to achieve the company’s strategic goals and protect its clients and those of distributors.
- Oversee the operational running of all UK branches of Progeny Asset Management to ensure compliance, highlighting any significant issues/risks to the CRO.
- Contribute to decision making, including supporting with budgetary management and control.
Skills, Knowledge, And Expertise
- Minimum QCF Level 4 Diploma (essential).
- Previous experience in a regulatory setting within Asset Management is essential.
- Demonstrable experience of leading teams and providing strategic direction.
- Previously held regulatory compliance permissions is an advantage.
- Excellent understanding and knowledge of all relevant regulatory rules, in particular FCA COLL and PROD rules.
- Detailed understanding of Investment Management and Fund Manufacturing processes, and can quickly absorb compliance policies and operating procedures.
- Good working knowledge of data protection legislation, AML and Countering Terrorist Financing obligations.
- An in-depth understanding of the Senior Managers and Certification Regime.
- Ability to build and maintain excellent stakeholder relationships with all parts of the business and deal with confidential matters with discretion and tact.
- Flexible and responsive with the ability to manage workloads and those of the team, and have the ability to work well and efficiently under pressure.
- Be a role model with a strong ability to lead, inspire, motivate and manage UK Compliance teams, ensuring their continuous professional development
- Exceptional communication skills with the ability to adapt and tailor information to the audience and present complex information in an accessible form.
- Strong ability to influence and negotiate where appropriate, including up to the Executive level.
- Ability to work with minimal or no supervision and maintain team engagement and productivity in challenging situations.
- Ability to work both independently and collaboratively with other colleagues and leaders, demonstrating strong interpersonal skills and a willingness to learn and share information and best practice.
- Maintains the highest professional standards to ensure that the firm is not in a position of risk.
We may close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.
Benefits
- 30 days holiday plus public holidays
- 3 days of celebratory leave (to be used for your birthday, wellbeing, volunteering, or other celebratory events important to you.
- Private medical insurance, 24/7 digital GP and health advice
- Employee assistance programme providing support for your mental and physical health
- Group pension scheme
- Life assurance scheme
- Eyecare vouchers
- Enhanced family leave
- Referral scheme
About Progeny
We create, enhance, and preserve wealth.
We are the first and only firm in the UK to bring together independent financial planning, asset management, tax, HR, and private and corporate legal services.
We are forward-thinking and tech-driven, using technology to eliminate paperwork, improve communications, and enrich the relationship between client and adviser.
At Progeny, we believe that we all have the power to make good things happen. We want to use our success as a catalyst for making real change. We created the Progeny Foundation to support local charities such as Zarach.
We are the proud winners of the Yorkshire Financial Awards 2024 Best Employer award for the third year running.
