Senior Compliance Specialist to work within an Independent Regulatory Hosting Business

Job Description

Senior Compliance Monitoring Specialist

Each Monitoring Specialist will have clients ranging from investment managers to appointed representatives. They provide compliance advice and complete the compliance monitoring program. The role offers exposure to various investment strategies and regulated activity. The successful candidate will work with new start-ups and non-UK firms looking to establish a UK presence.

Responsibilities Include

Project managing new client take on alongside our onboarding team and preparation of new business committee reports. Client Compliance Infrastructure set-up, working with clients to customise collateral to their needs. You will conduct compliance monitoring and ongoing advice and assistance, so knowledge of the AR MiFID AIFM regimes are key, and knowledge of CFTC and SEC would be an advantage The successful candidate will manage their own clients with the support of the larger team to ensure that within our clients that all regulated activities are conducted appropriately, that the opportunity for financial crime is removed. You will also make sure that conflicts of interest are assessed and updated, and mitigating controls and actions are in place. You will monitor personal account dealing via cutting-edge systems. We believe in engaging with our clients face-to-face or via Teams /Zoom to build relationships and ensure appropriate oversight.

Our Firm

Vittoria and Partners are proud to be privately owned we treat everyone as a partner, so each person’s hopes and opinions are listened to and considered. We believe that it is of paramount importance that we do not simply measure our success in terms of the financial success of the firm it's important but we want Vittoria and Partners to be a great place to work. We are committed to driving a sustainable business that is both commercially successful and socially and environmentally responsible. Our ownership structure ensures that everyone has a significant vested interest in ensuring the success of the firm This includes providing our employees in the UK and Malta with a safe and healthy working environment and having an organisational culture that promotes , inclusivity, personal development, and respect. We want people to enjoy coming to work and for the workplace to be free from discrimination, harassment, and victimization. 

Disabled applicants are encouraged to contact Sarah@Vittoriapartners.com to identify any additional support they may need during the recruitment.

Experience Required

Relevant experience working in-house at an FCA-regulated firm or in a compliance consulting role;

Experience in the relevant regulatory environments including but not limited to AIFMD, and MiFID, and a willingness to learn about others such as CFTC and SEC.

Ability to manage multiple client interactions

Proactive communication and approach with excellent verbal, written, and presentation skills.

Industry

• Financial Services

Employment Type

Full-time and Part-Time hours Considered