Compliance Director - Link Fund Solutions

Posted 23 May by Link Asset Services
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Job Description

  • To act as SMF16 with FCA for the regulated entities Link Fund Solutions Limited, Link Financial Investments Limited and Link Fund Administrators Limited.
  • Provide assurance and advice on regulatory risks to the Global CEO, MD and other senior management in Fund Solutions and Link Group, EMEA Compliance.
  • Ensure that effective advice is provided on compliance matters and regulatory change and that relevant compliance policy and controls are created, managed and communicated effectively.
  • Ensure that all fund documentation including prospectuses are kept up to date with regulatory changes
  • Ensure that there is an appropriate risk-based compliance monitoring programme in place for the above regulated entities ensuring timely delivery of the programme and that it is designed to assess all regulated activities with appropriate frequency.
  • Ensure that regulatory developments are tracked appropriately and their relevance and impact are communicated to the business. Compliance is to act as SME on any regulatory change project.
  • Ensure that all incidents and breaches are reported, assessed and issues identified are effectively addressed, ensuring that compensation, where required, is paid as appropriate and effective remedial action is taken to prevent recurrence.
  • Ensure the Compliance Function in all relevant jurisdictions has sufficient resources and that it is appropriately structured.
  • Liaison with the Regulators and Depositaries as required.
  • Effective oversight of the compliance coverage in Ireland and Lux operations.
  • Define, manage and deliver Compliance reporting to Fund Solutions’ governance committees on a timely basis.
  • Attendance at key governance and control meetings.
  • Support business initiatives as appropriate e.g. acquisitions.
  • Keep Link Group EMEA Compliance Director informed of relevant regulatory matters.
  • Overarching responsibility for ensuring Compliance meets its plans and performance targets.
  • Mitigate operational risk pertinent to the Compliance function through relevant risk assessment procedures, adhering to policy and in accordance with risk management frameworks.
  • Effective monitoring and oversight of risk frameworks relating to Compliance ensuring these are embedded.
  • Oversight of compliance with all regulatory reporting whether or not undertaken by Compliance.
  • Oversight of the complaints-handling process for all 3 UK regulated entities.
  • Report into a Matrixed Senior Leadership Team up to Board Level.

As a Fund Solutions senior staff member:

  • Build and maintain a high performing team who are held accountable to deliver via high performance leadership, employee engagement practices & role model behaviours. Ensuring capability and resources are in place to meet business requirements.
  • Represent the business at a senior level.
  • Maintains knowledge of technical and business knowledge, industry and business developments, and regulatory requirements.
  • Ensure that an up to date succession and talent plan in place.
  • Support the growth, embedding and sustaining of a strong culture across the Fund Solutions business, one which instils accountability and strong engaging behaviours (e.g. no fear of speaking up).


Qualifications

  • Minimum of a university degree.
  • Knowledge and experience within a regulatory environment, including a sound understanding of the Senior Managers and Certification Regime.
  • Significant experience of leading teams and providing strategic direction across multiple locations.
  • Deep understanding and working knowledge of Financial regulations.
  • Relevant experience working in a regulated financial service business, preferably in investment management.
  • Thorough knowledge of market changes and forces that influence the company.
  • Solid experience of setting and achieving business targets, time lines, plans and financial targets.
  • Proven track record in managing a large department or function.
  • Significant experience of managing change and transition activity.
  • Be able to demonstrate an adequate degree of commercial acumen.
  • Good / broad understanding of the markets in which we operate.
  • Personal commitment to and visible role modelling of the organisation's behaviours and values. This will include in depth experience in the development and embedding of a strong culture, one which adheres to FCA conduct rules and embeds positive behaviours & values.
  • A superior networker, negotiator, and business leader.
  • High quality communication and presentation dexterity.


Additional Information

At Link we believe our people are our most important asset. We offer excellent career progression opportunities, ongoing training and development. If you thrive in a fast-paced environment, want your talent to be recognised and rewarded and are looking for a new challenge then we would love to hear from you.

Together we achieve: We are an inclusive employer whose people work collaboratively. We are building a culture where difference is valued. We are doing this by encouraging, supporting and valuing the various talents and perspectives of our people and supporting flexible ways of working. We know that diversity drives innovation and innovation drives growth. Be part of the Link Group journey and together we will achieve our full potential.

We treat all individuals fairly and equitably and do not discriminate on the basis of diverse characteristics including, but not limited to gender, gender identity, sexual orientation, age, ethnicity, cultural background, physical abilities/disabilities, religious or political belief, marital or family status or carers responsibilities.

Candidates must have the relevant work rights to be considered for an opportunity at Link Group. Successful applicants will be required to complete background screening prior to commencement of employment.

Reference: 40422801

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