Assistant Manager - Compliance

Fidelity International
Tadworth, United Kingdom
28 Jan 2019
05 Feb 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

Department Description

The UK Business Compliance team provides consultancy and advisory services to all our UK businesses, working in partnership with the other oversight functions, such as the AML, Legal and Risk teams. Members of the Compliance team are located at three UK sites. Their role is to provide an excellent compliance service, promoting a compliance culture and enhancing the effectiveness, long-term profitability and reputation of the company through pro-active management of regulatory and reputational risk, undertaken in partnership with the business, and in the best interests of our investors and customers.

Purpose of your role

To support the Compliance Director for the Workplace Investing (WI) Business by providing compliance support and advice to the WI business to assist them meet their regulatory requirements.

Contribute to the development of the Fidelity businesses through internal regulatory consulting and advisory services

The Workplace business is the provider of pension products to UK company pension schemes via a regulated life insurance company.

Key Responsibilities

  • Provide compliance advice and guidance to the business areas by pro-active support and advice for business initiatives and day to day queries
  • Reviewing professional client communications, other promotional literature and client communications to ensure compliance with regulatory requirements
  • Supporting activity in respect of regulator data requests and visits
  • Develop and initiate relationships with key staff throughout the WI business
  • Participate in projects and initiatives supported by the Compliance team including regulatory change projects
  • Assist, when required, in compliance monitoring, assessment and remediation activities and to implement effective regulatory risk controls
  • Support the wider Business Compliance team as required in accordance with business and departmental needs
  • Maintain an in-depth knowledge of the relevant rules, regulations and the regulatory environment by monitoring regulatory developments

Experience Required

  • Previous experience of working in a compliance function with a knowledge of FCA requirements
  • Good communication skills with the ability to address difficult situations and influence key decision makers through knowledge and reasoning
  • Self-sufficient, well organised and able to manage priorities and workloads across different business channels in different locations
  • Strong customer service ethos, a commitment to quality and the will to constantly drive service improvements
  • Excellent planning, analysis, attention to detail and judgement skills
  • Business partnership skills with ability to build networks across businesses
  • Awareness of, and an interest in, relevant regulatory requirements and the broader regulatory environment
  • Knowledge and experience of pensions and pension products would be desirable
  • A team player who can be flexible

Desirable Qualifications

  • A Batchelor's degree (preferably in a relevant discipline such as law, accounting or a business subject) is preferable
  • Relevant professional qualifications (e.g. awarded by the CII, CISI, CFA) would be advantageous or willingness to study for relevant professional qualifications

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