You will support the monitoring and oversight of a portfolio of Appointed Representatives (ARs) and Alternative Investment Funds (AIFs), ensuring activities are conducted in line with regulatory expectations and internal compliance frameworks. You will assess and manage risks through structured monitoring, stakeholder engagement, and detailed reporting, while contributing to the team鈥檚 overall objectives and maintaining strong regulatory awareness within the investment management environment.
What you will do
- You will conduct ongoing compliance monitoring in line with the Compliance Monitoring Framework, ensuring AR and fund activities are reviewed regularly and risks are identified and escalated where necessary
- You will build and maintain strong relationships with a portfolio of Appointed Representatives, supporting their needs while identifying potential risks, compliance concerns, or offboarding indicators
- You will monitor funds and investment management mandates, liaising with both internal teams and external stakeholders to ensure effective oversight of investment management relationships
- You will prepare monitoring reports, committee materials, and risk assessments, ensuring accurate documentation and management information (MI) is produced in accordance with the Risk Management Framework
- You will contribute to the Monitoring team鈥檚 business objectives by collaborating with RegCom and wider teams, maintaining strong record-keeping practices, adhering to policies and procedures, and continuously enhancing your regulatory knowledge and professional development
What we offer
- Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
- Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
- Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
- Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
- Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day