Vacancies

Acquisitions Compliance Manager

Perspective Financial Group Ltd / Group Regulatory & Compliance

Job Description

Job Requirements

• Minimum of 3 years financial services industry experience, preferably in a project management role.
• Diploma in Financial Planning (or equivalent).
• Be able to manage multi case workloads through a multi [1] stage process.
• Excellent attention to detail and analytical ability, with a high standard of both written & verbal communication skills.
• Highly organised with the ability to work to tight deadlines, when required. ➢ Working knowledge of the UK regulatory framework.
• Showing initiative, with a proactive approach to tasks.
• Confidence with IT and office software packages including Teams, Outlook, Word and Excel.
• Flexibility / adaptability to cope with change.
• A team player with a positive attitude.
• Able to work independently and meet deadlines.
• Comfortable in a high growth and ever-changing business.

Job Responsibilities

• Oversight of compliance workstreams to ensure a smooth onboarding.
• Liaising with vendors to ensure that ongoing compliance responsibilities are maintained or transferred during the acquisition period.
• Working collaboratively with other departments within Perspective to aid the effective onboarding of new firms to the group.
• Management Information reporting and escalation of key risks and issues to the project management team.
• Liaising with regional directors and project management teams to ensure compliance onboarding activities are scheduled at the right time and with minimal disturbance to vendors.
• Tracking progress of FCA Change in Control and de [1] authorisation applications and supporting the Chief Regulatory Officer in drafting those applications.
• Coordinating the staff onboarding training plan to ensure that training and file checking is completed in sufficient time ahead of the completion date.
• Ensuring that areas of improvement highlighted in due diligence are factored into the training plan and validating that those improvements have been achieved ahead of completion.
• Overseeing PI renewals, ensuring that PI policies are maintained. Where relevant, drafting PI proposal forms on behalf of vendors.
• Completion of RegData returns, ensuring that returns are submitted on time and, where relevant, drafting returns for submission to the FCA.
• Ensuring that Perspective’s policies and procedures are embedded within the acquired firm ahead of completion and overseeing the resolution of cases that do not meet Perspective’s policies.
• Drafting of procedures and working to ensure that roles and responsibilities are coordinated across the regulatory function.
• Oversight of file review remediation requirements.
• Robust and timely administration and record keeping.

Job Benefits