Job DescriptionWe are currently recruiting for an exciting opportunity in our Compliance department to take the lead on the day-to-day delivery of a Senior managers and Certification Regime ('SMCR') project. This role will enable the successful candidate to interact with a variety of senior stakeholders and support the business to ensure compliance with the relevant requirements and standards.
The ProjectThe aim of the project is to help review and advise on all aspects of compliance with the FCA and PRA's senior management and certification employee rules..
Responsibilities include - Review and update the SMCR project plan in conjunction with the Compliance Manager, Regulatory Relations
- Produce clear documentation relating to SMCR policy and procedures
- Utilise specialist knowledge to advise on best practice within the SMCR space
- Conduct further research around current regulations and produce clear guidance to the business
- Ensure SMCR related controls, risk and issues are effectively managed
- Ensure any gaps identified are adequately addressed and controls are strengthened
- Support BAU work such as reporting, record retention and handling ad-hoc business queries relating to SMCR
Person SpecificationThe ideal candidate will have either worked in a specialist SMCR function or have extensive experience working with SMCR in either an HR, Legal or Compliance capacity. This experience should include the ability to analyse and interpret regulation as well as how this is operationalized in the form of procedures. The successful candidate must be able to work under pressure to meet tight deadlines and be comfortable dealing with robust challenge. We offer a competitive remuneration package, including company discretionary bonus, excellent pension contributions, an attractive staff share scheme, BUPA health insurance, buying and selling of annual leave and sponsorship of relevant professional qualifications. The role is based in our central London office, working a minimum of two days a week in the office and three days a week from home.
About UsTransact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £64.1 billion of funds under direction (as at September 2024) on behalf of over 8,000 advisers and 235,00 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.
Equal Opportunities We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.
