Compliance & Legal Officer - Chelmsford, United Kingdom - Huntress

Huntress

Verified Company

Chelmsford, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Compliance & Legal Officer

Duties:

Be the company's primary point of contact for regulatory and legal matters including client contracts, compliance and wider regulatory or legislative matters
Develop, maintain, and monitor appropriate written procedures to ensure compliance with relevant domestic and international legislation, regulations, and company policies
Ensure the effective implementation of the company's Code of Conduct and undertake all aspects of monitoring, internal audit, and public reporting
Assist with the enhancement and development of operational procedures and controls
Prepare training material and deliver training in compliance with regulatory obligations and business procedures
Proactively manage the mitigation of compliance breaches
Assist in promoting a culture of risk awareness and control
Prepare reports for domestic and international regulatory authorities
Maintain effective relationships with regulatory and industry body stakeholders
Monitor changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the Directors on their implications
Circulate regulatory development briefings to directors and senior management
Undertake projects addressing new regulatory initiatives and the review of existing policies
Provide advice to the directors on the regulatory implications of new business areas and new products
Support the IT director with fulfilling GDPR and cybersecurity responsibilities and research analysts with legal and regulatory research issues

Experience Required:

Minimum undergraduate degree level qualification, with postgraduate diploma or equivalent, ideally in Law, Business, Finance, Company Secretarial or Compliance and Risk Management
4 years relevant work experience in compliance, legal or regulatory affairs
Strong working knowledge of the UK and EU funds industry regulatory framework
Knowledge of transfer agency, global custody or share registry operations
Strong communication skills, both written and verbal skills
Selfmotivated and able to use initiative with a strong handson approach
Experience with AAF 01/06, SOC2, ISO27001, ISO9001 or Cyber Essentials control frameworks would be desirable but not essential

Opportunity for part-time and hybrid working (office based with hybrid working available after initial training and probationary period)
Monday-Friday, 40 hours per week if full time
35k-40k