Compliance Reporting Consultant recruitment

Based in the City of London, our experienced team of investment specialists manages over £40 billion of assets, investing across all major asset classes. We offer a range of pooled investment products as well as providing bespoke solutions to meet specific objectives.

RLAM was established in 1988 and is a wholly owned and central part of the Royal London Group. Since our inception we have built a reputation as an innovative, high performing fund manager, winning new clients as our performance, track record and exceptional client service have been recognised. We are proud of the people we employ, the performance we have delivered and the group of clients we manage for.

Reporting to the Compliance Monitoring Manager, the Compliance Reporting Consultant will coordinate all forms of key compliance reporting for the RLAM Group of companies to ensure that key regulatory risks are reported to senior management, while assisting the Compliance Monitoring team in the completion of the monitoring plan where appropriate.

Key responsibilities will include:
- Managing regulatory breaches and errors received from all business and outsourced activities.
- Production of management information for Board and ExCo reporting, incorporating key regulatory risks.
- Managing complaints reports from outsourcers and referring any issues requiring resolution to the Compliance Monitoring Manager.
- Assisting the monitoring team in completion of monitoring reviews as required.
- Maintaining the log of outstanding monitoring actions and following up with the business any outstanding areas for completion.
- Managing the process for setting up new brokers by requesting due diligence documents, liaising with Group Legal and other business areas and arranging for ThinkFolio set up.
- Ensuring the production and maintenance of adequate records in accordance with FSA rules and guidance

Skills and Experience required:
You will be educated to degree level (or equivalent), and preferably working towards a relevant professional qualification.  You should also have previous experience of working for an Asset Management business, ideally within a risk or compliance function.
You will have an understanding of regulatory compliance in a Financial Services environment.
You will have excellent written and verbal communication skills combined with strong organisational skills.
You will be comfortable interacting with and influencing stakeholders of all levels.