Compliance Manager, Fs

Overview

Provide advice and guidance to the business on regulatory matters

Maintain and promote effective compliance organisational practices to ensure adherence with applicable regulatory requirements

Key Accountabilities and main responsibilities

Strategic Focus

• Act as Compliance representative for new funds and changes to existing funds (including liaison with the Product team and their communication with the Regulator).
• Lead on/assist with the implementation of regulatory developments
• Respond to Adhoc queries

Operational Management

• Provision of accurate and timely advice to the business on regulatory matters
• Assist in projects to provide compliance analysis and review of new business initiatives and developments of Link Fund Solutions in the U.K.
• Preparation and completion of regulatory reporting as required.
• Assist in the day-to-day activities of the Compliance Team including required sign-offs and approvals.
• Build a close working relationship with the different departments across the FS business and Compliance colleagues in various locations.

People Leadership

• Act as alternate for SCMAP - Senior Compliance Manager, Advisory & Policy.

Governance & Risk

• Assist and support the Senior Compliance Manager, Advisory & Policy (“SCMAP”) in the maintenance and the ongoing effectiveness and implementation of all compliance policies and procedures across the business.
• Assist and support the SCMAP in the ongoing maintenance, enhancement, development and operation of compliance training programs and activities for the UK entities so that they remain current and UK employees have appropriate compliance knowledge and awareness.
• Provide management information to governance committees and senior management, as appropriate, to demonstrate compliance or to highlight issues or trends where appropriate.
• Assist the SCMAP in providing reports and escalation of issues as required to the UK governance committees as required.

Experience & Personal Attributes

• Educated to A level standard/
• Minimum of 5 years experience gained in a Compliance function, in an investment management environment with exposure to and familiarity in managing related retail and institutional compliance issues.
• Good knowledge of UK regulation as applicable in an Investment Management business, particularly COLL, FUND and COBs
• Ability to establish and build business relationships

Desirable

• A university-level education
Experience of sale and marketing of funds into jurisdictions other than the UK

About Waystone

Waystone is a leading provider of institutional governance, risk, and compliance services to the asset management industry. Partnering institutional investors, investment funds and asset managers, Waystone builds, supports, and protects investment structures and strategies worldwide. With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone is now supporting asset managers with more than US$2tn in AUM. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

What’s in it for you?

• A very competitive basic salary plus benefits.
• 23 days’ holiday to start, (rising to 25) plus Bank Holidays, with the opportunity to buy extra leave.
• Company matched pension scheme, life assurance, a cycle2work scheme…and plenty more.
• Voluntary benefits designed to suit your lifestyle – from discounts on retail and socialising, to health & wellbeing, travel and technology.
• The possibility of a hybrid work approach.
You’ll get the chance to follow your chosen career path anywhere within the company. You’ll be joining a network of 7,000 experienced, innovative and dedicated individuals across multiple teams and countries. There are countless opportunities to learn new skills and develop in your career and we’ll provide the support you need to do just that.

What we hope you’ll do next:

Choose ‘Apply now’ to fill out our short application, so that we can find out more about you.

We’re an equal opportunity employer, which means we’ll consider all suitably qualified applicants regardless of gender identity or expression, ethnic origin, nationality, religion or beliefs, age, sexual orientation, disability status or any other protected characteristic. We recruit and develop our people based on merit and their passion and we’re committed to creating an inclusive environment for all employees.

We are a leading independent Authorised Fund Manager and provider of fund administration and transfer agency services.

We leverage our specialist knowledge and technology to support traditional and alternative funds in UK, Ireland, Luxembourg and Australia. With a focus on strong governance, regulatory expertise and risk management, our business helps to manage regulatory compliance for asset managers and investors.

Our unique place in the market, combined with our partnership approach, depth of experience and well-invested systems, enables us to support investment managers through the challenges of changing market and investor needs, and, as a result, help them to enhance returns, minimise costs and mitigate their risks.

Link Group is building a dynamic, client focused, caring and inclusive culture that is built on the foundations of an entrepreneurial spirit, effective risk management, empathy and trust, and underpinned by its core values.

We are an inclusive employer whose people work collaboratively. We encourage, support and value the various talents and perspectives of our people and promote a flexible and blended work environment where our people can thrive and their wellbeing is supported. We know that diversity drives better client outcomes, continuous improvement, and growth. Be part of the Link Group journey and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.

Candidates must have the relevant work rights to be considered for an opportunity at Link Group. Successful applicants will be required to complete background screening prior to commencement of employment.