HR Projects / Compliance Specialist

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One of the UK's largest independent Investment firm's in the UK are recruiting for a Senior Managers Regime Assistant Manager. This role will be responsible for implementing and managing compliance with the Senior Managers Regime. Responsibilities of the Senior Managers Regime Assistant Manager include:

  • Managing the new-joiner process in relation to Senior Manager Function's and Certified Person's ensuring that the appropriate regulations are followed
  • Working with the recruitment team to ensure the required Fit & Proper due diligence checks have been completed
  • Preparing and managing SMF regulatory applications
  • Working with Supervisors of CPs to prepare Threshold Competence Trackers. Monitoring progress against the tracker, following up with the Supervisor/CP as appropriate to ensure timely completion
  • Ongoing monitoring of the Supervisors to ensure they are complying with T&C Framework in relation to the Certified Persons
  • Ensuring the individual SMF Statements of responsibilities and associated documentation e.g. role profiles, job descriptions etc. are current
  • Managing the annual Fit and Proper certification process; ensuring all due diligence checks have been completed
  • Preparing MI to support, or otherwise, the annual certification
  • Assisting the T&C Senior Manager to present the MI and necessary paperwork to the appropriate SMF for the annual certification
  • Managing relationships within the internal Compliance and Company Secretariat Departments, recruiting Team, HRBP's, SMFs and CPs
  • Ensuring all SMF and CP record and databases are accurate and updated in a timely manner
  • Working with HRBPs and Recruitment Team to ensure compliance
  • Supporting development of SMR system
  • Identifying, designing and delivering training solutions that meet Conduct Rule/SMF and CP requirements
  • Understanding and maintaining knowledge of regulatory environment and translating the requirements into policies and procedures

As the SMR Assistant Manager, you will possess:

  • Strong organisational skills
  • Ability to follow instructions and procedures
  • Ability to deliver results

If this SMR Assistant Manager role is of interest, please apply directly.


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