Role overview
To support and assist in the administration and reporting work of the Central Compliance team. Maintaining and managing all information, data and records held within Compliance to ensure information is readily accessible, searchable and up-to-date.
Key responsibilities
This is a permanent role as part of the Central Compliance team responsible for the following activities.
- Assisting with the management of the Compliance inbox, to ensure queries are directed to the relevant individuals and within agreed time frames
- Assisting with conflict of interest sign offs (e.g. Gifts and Hospitality, PA Dealing, Outside Business Interests) in accordance with department operating procedures and as assigned by the line manager
- Assisting with coordination and completion of the regulatory returns and regulatory applications in accordance with department operating procedures and as assigned by the line manager. Assisting with the regulatory change log and review of FCA (and other material) in accordance with department operating procedures and as assigned by the line manager
- Maintaining insider log records
- Contribution to Takeover Panel reporting
- Assist with business queries on compliance-related matters
- Contribution to ad-hoc tasks and projects as required
- Oversee and support the firm's SMCR framework, including Certification, Conduct Rules monitoring, Fitness & Propriety assessments, regulatory notifications, and associated record keeping
- Provide advice and training to business stakeholders on SMCR, Conduct Rules, Consumer Duty, and complaints handling obligations.Working with the wider Legal, Risk and Compliance teams as required
Regulatory responsibilities | Compliance/T&C
- Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
- Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and TrinityBridge Compliance and Risk policies.
About you | Qualifications, skills and strengths
- Keen attention to detail, with strong organisation skills
- Ability to work quickly and accurately to tight deadlines
- Good team player with the ability to work on own initiative
- Good communication skills
- A willingness to learn new skills and tasks with a proactive attitude
- Interest in building knowledge of Compliance within a financial advice and asset management firm
- 1+ years of experience within a Compliance environment
At TrinityBridge we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.
We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.
To avoid any ambiguity around fees, please note that speculative CVs received by TrinityBridge, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.
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