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Investment Compliance Analyst (12 month FTC)

Division
Location London or Northwich, England
Salary Competitive + Benefits
Mergefield Title {Mergefield Value}

This is a {Advertised Permanent / Temporary}, {Advertised Full Time / Part Time} vacancy that will close in {x} days at {xx:xx} BST.

The Vacancy

OVERALL SUMMARY

Join TrinityBridge Compliance Team where you will support the Head of Operational Risk and Compliance with the provision of compliance advice and support to the investment / fund management and business development teams within TrinityBridge. 

RESPONSIBILITIES

  • Review and sign-off of investment financial promotions and related materials, including review of associated procedures.
     
  • Attendance at the Investment Risk meetings and Compliance governance committees, including assembly of the pack and recording the minutes.
     
  • Conduct new joiner compliance inductions and deliver regulatory training where required.
     
  • Participation in SMCR oversight, including training and competence oversight (for Investments, Funds, Research, Business Development and Dealing teams)
     
  • Awareness of new regulatory requirements and working with the business to develop and implement compliant solutions.
     
  • Work in partnership with the business to improve processes and procedures to mitigate regulatory risk.
     
  • Provision of pro-active compliance advice, training and support to Bespoke Investment management,  Fund Management, Research, Dealing, and Marketing and Business Development.
     
  • Compliance expertise on Funds and other products such as ISAs, SIPPs and Offshore Bonds.
     
  • Compliance expertise on Best Execution
     
  • Preparation of investment compliance MI for governance committees.
     
  • Support to Head of Operational Risk and Compliance.

    Regulatory Responsibilities (Compliance/T&C)

  • Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.

WE WOULD LOVE TO HEAR FROM YOU IF:

  • Demonstrable senior investment compliance experience.
  • Significant experience of the regulations pertaining to retail client communications.
  • Excellent knowledge and understanding of regulatory requirements affecting a UK asset management and wealth management business.
  • Demonstrable experience of T&C regime and implementation
  • The ability to prioritise and manage complex deliverables against tight timeframes with minimal supervision.
  • Excellent people skills and ability to influence others, including Senior Management.
  • Relevant product knowledge.

At TrinityBridge we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by TrinityBridge, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

#LI-EM1 #LI-SY1 #LI-JJ1

The Company

At TrinityBridge we are all connected by our mission to be the best place in the UK for wealth professionals and their clients.

We believe that everyone should think ahead, have a financial plan and invest wisely. Our clients are professionals, business owners, individuals, charities, families, and employers, who rely on our clear financial advice and investment management services to preserve and grow their long-term savings and investments.

We are a team of about 900 people based in 15 offices across the UK. Our geographic footprint means we can combine a local approach with face-to-face services to enable strong, long-term relationships with our clients.

Sustainability is fundamental to our purpose, and we have a responsibility to help address the social, economic and environmental challenges facing our business, colleagues and clients. We strive to do the right thing and are dedicated to helping the charities that matter most to our people.

We offer a wide range of inclusive benefits that provides our people with all the support they need to find a healthy balance in all aspects of their lives. We also invest in the growth of our people providing a sense of belonging and team spirit and the ability to thrive.

We recruit people from all backgrounds and are open to discussing all types of flexible working options, helping our people to balance work and home life and make practical choices for wellbeing while delivering impact where it matters, all of which contributes to our exceptional client experience.

We are committed to ensuring our recruitment process is accessible to everyone. We make adjustments for people who have a disability or long-term condition so, if you need a job description or application form in an alternative format, or would like to discuss the recruitment process with us, please get in touch at TalentAcquisition@trinitybridge.com.

Private medical

Discounted health checks

Stakeholder pension contribution

Cycle to work scheme

Gym discounts

Purchase additional holiday

Equal Opportunities

As an employer, TrinityBridge is committed to equality and valuing diversity within its workforce. We provide equality of opportunity and will aim to ensure that no employee’s or candidates are subject to discrimination on grounds of any characteristics including but not withstanding gender, gender identity, marital status, sexual orientation, race, colour, nationality, religion, age, disability, working pattern, caring responsibilities, political beliefs. 

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in X days

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