Junior Compliance Officer - Operational Compliance
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Purpose of Role:
The Operational Compliance team sits within Non-Financial Risk and provides a second line of defence for the firm’s activities. Their role includes providing oversight and guidance on the Firm’s Compliance with applicable rules, regulations, internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls.
The Operational Compliance team provides support and assurance to the business across Regulatory, Investment and Client Operations with responsibilities including regulatory reporting (MiFIR, EMIR, AIFMD, Shareholding Disclosures), Voice Recording, Outsourcing and Fund Services Oversight through a full scope of Compliance activities from Advisory to Monitoring.
This role will report to the Head of Operational Compliance in a current team of 3 people.
Responsibilities:
- Responsible for completing regulatory disclosure reporting (short, substantial and takeover), as well as Section 793 Company Act requests
- Remain up to date with relevant regulatory and legal requirements in respect of all relevant disclosure requirements
- Perform gap analysis to identify areas for improvement in the disclosure system and reports and work with Technology to implement solutions
- Assist with the review of procedural documentation and Global Policies at least annually, identifying areas of improvement and propose policy and procedure updates
- Provide compliance support to other regional offices including the US and Asia team
- Assist members of the Operational Compliance team with Compliance Monitoring Programme delivery across team scope including regulatory reporting (EMIR and MiFIR), MiFID voice recording and CASS
- Produce Compliance submissions for Man Group governance
- Opportunities to be involved in broader range of team activities as the role develops
Key Skills & Experience:
- Educated to degree level or equivalent
- Experience in a compliance, reporting or regulatory operations role is desirable
- Previous experience working in a regulated environment required
- A focused, proactive team member able to drive their own development
- Self-starter with strong analytical and problem-solving skills
- Experience with technical or detailed processes beneficial but not essential
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