Investment Compliance Manager
Date Posted: 04/12/2023
Job Type: Full timeApply Now
Who are Just?
We’re a FTSE 250 Financial Services company who specialise in retirement solutions and right now, our world is moving pretty quickly. With the defined benefit buy in / buy out space growing each year, Just continues to annually grow its business by over £2bn of assets.
We are a purpose driven company with compelling and credible goals. Quite simply, we help people achieve a better later life. We achieve this by providing competitive and innovative products, services, financial advice and guidance to help our customers achieve security, certainty and provide them with peace of mind in retirement.
That’s who we are. We’re a company on a mission: to become a beacon for the entire retirement industry. Because we believe everyone deserves a fair, secure, and fulfilling retirement.
About the role
In this role, you will work as part of the second line Compliance team. You will also proactively advise, challenge, review and support the Digital Wealth business to enable it to understand its regulatory responsibilities and to comply with regulation.
What you will be doing
Providing first class, compliance advisory support to the business; proactively advising, challenging, reviewing and supporting the business to enable it to understand its regulatory responsibilities and to comply with regulation, delivering first class conduct risk mitigation and maximum business benefits.
Working as an Investment Compliance Manager to analyse emerging and developing regulation in order to be able to support business stakeholders in understanding direct and indirect impacts of this and to plan and implement required changes in a timely manner in order to stay compliant.
Ensuring that own activity is focused in order to best deliver risk-based conduct risk and compliance value add whilst being curious and proactively identifying additional areas of activity that will bring further business benefit.
Assisting in building and managing key relationships with internal and external stakeholders to ensure understanding of Consumer Duty and Conduct Advisory requirements and activities and the requirement for adherence to policies and procedures.
Maintaining an open and effective dialogue with all stakeholders, proactively suggesting ways in which the business can further understand, take responsibility for and mitigate its conduct risk profile.
Ensuring that Compliance policies and procedures are drafted, reviewed and updated in a timely manner and proactively participate in the production of regular Compliance & Conduct Advisory internal communication materials in order to support business awareness and understanding.
Through positive engagement with business stakeholders, ensure that appropriate processes, systems and controls are in place and that any risks and issues identified are escalated as necessary, reviewing and challenging as required and thereby ensuring that Compliance supports the Digital Wealth function in delivering good outcomes to customers.
Personally, maintaining a detailed knowledge of Group policy, compliance and conduct risk requirements, keeping abreast of changes and developments including those externally.
What we're looking for:
Professional qualifications in relation to the role are desirable
Significant exposure to direct and/or advised investment platforms with a comprehensive understanding of the end-to-end investment process.
Strong understanding of UK regulation and of compliance and conduct risk within an investment platform environment. Ability to swiftly analyse emerging regulation in order to identify impacts
Adept at nurturing and promoting effective working relationships with stakeholders - highly collaborative with an outward facing approach.
Strong relationship and stakeholder management skills – ability to generate a positive outcome with stakeholders, to effectively manage different stakeholder groups, drive consensus where appropriate, bring people together and diplomatically influence key stakeholder groups using skill and tact. Must relate well to various audiences
Ability to remain independent and to demonstrate that independence whilst also providing commercial, practical and value-add solutions for the business, influencing outcomes positively for all stakeholders
Must be delivery focused, possessing high levels of resilience and determination and be able to meet challenging deadlines and deal with conflicting priorities.
Ability to assess and generate progressive solutions.
Excellent attention to detail
Previous relevant experience in a similar platform/wealth business role is expected
A Competitive Salary, Pension Scheme and Life Assurance
Along with 25 Days Annual Leave plus an Additional Day on us for your Birthday
Private Medical Cover and Income Protection, just in case
A generous and highly achievable bonus scheme – paid annually based on individual and company performance against targets
Opportunity to progress within your career both in-role and within the company
FREE access to the Headspace App, a 24/7 Employee Assistance Helpline and Trained Physical & Mental Health First Aiders (On-Site)
A variety of Employee Funded Benefits available to you via our Online Benefits Portal
Plus, several additional purchase options available for you and your loved ones