4. REGULATORY/PRODUCT SPECIALIST recruitment
Regulatory Affairs Officers act as a link between companies and regulatory authorities, ensuring that products are structured and distributed in compliance with regulations and legislation.
The candidate must have the detailed knowledge, understanding and experience of the following activities:
• UCITS Funds (Equity, Income, Property and Balanced Funds)
• Advisory Business (Tied only Model)
• Individual Savings Account (ISA) – to be setup
• Personal Investment Plan (PIP) – to be setup
• Group Pension Plan (Umbrella Funds) – to be setup
• Investment Management – to be setup
For the products that require setup in line with the Group Strategy, the candidate must be able to perform the following:
• Research the licensing and regulatory requirements for the setup of the activities.
• Prepare and present comprehensive details about structure of the activities.
• Prepare the required documents for licensing and liaise with the regulatory authorities to obtain necessary approvals.
• developing and writing clear arguments and explanations for new product licences and licence renewals
• Manage the final product submissions and negotiate and communicate effectively with regulatory authorities to obtain timely product approvals
The candidate must have:
• Good knowledge of FSA rules and regulations and a thorough knowledge of regulatory development and consultative process
• Sound understanding of regulatory structure and process, regulations and their underlying principles
• Detailed specialist knowledge relevant to specific role or /specialisation (e.g. FSA, Data Protection, Financial Crime, Anti-money laundering)
Duties include the following:
• Responsible for coordination preparation of regulatory submissions and approvals for new products and companies and strategies
• Develop maintain regulatory knowledge of the UCITS environment
• Develop maintain regulatory knowledge of the regulations of Financial Services Authority UK and other European regulations
• Research and Develop the products in line with the strategy and requirements of the Group.
• Manage the final product submissions and negotiate and communicate effectively with regulatory authorities to obtain timely product approvals
• Participate in teams with regard to implementation of regulatory requirements
• Manage transposition of international standards into company product related requirements
• Provide the Project teams with regulatory input in order to obtain timely regulatory approvals for the products as part of the product development planning
• Implement QA systems and generate SOPs
• Update licensing and collect information on registration instructions and regulations
• Studying regulatory and legal documents
• gathering, evaluating, organising, managing and collating information in a variety of formats
• maintaining familiarity with company product ranges
• planning, undertaking and overseeing regulatory inspections
• keeping up-to-date with changes in regulatory legislation and guidelines
• offering advice about company policies, practices and systems
• ensuring that quality standards are met and submissions meet strict deadlines
• keeping abreast of international legislation, guidelines and practices;
• developing and writing clear arguments and explanations for new product licences and licence renewals;
• liaising with, and making presentations to, regulatory authorities;
Remuneration: Market Related Cost to Company
Location: London Knightsbridge (United Kingdom)
Process: Send CV, Passport, and Academic Transcripts to recruitment@za.oasiscrescent.com or visit www.oasiscrescent.com . If you do not receive a reply within 6 weeks, regard your application as being unsuccessful.