Acquisitions Compliance Manager

We have a fantastic opportunity to join our Regulatory function as Acquisitions Compliance Manager. The successful candidate will oversee and coordinate the onboarding of acquired firms into Perspective from a regulatory point of view, working with other departments to provide each Vendor with the support required. Office: Perspective Financial Group Ltd,

• Oversight of compliance workstreams to ensure a smooth onboarding.
• Liaising with vendors to ensure that ongoing compliance responsibilities are maintained or transferred during the acquisition period.
• Working collaboratively with other departments within Perspective to aid the effective onboarding of new firms to the group.
• Management Information reporting and escalation of key risks and issues to the project management team.
• Liaising with regional directors and project management teams to ensure compliance onboarding activities are scheduled at the right time and with minimal disturbance to vendors.
• Tracking progress of FCA Change in Control and de [1] authorisation applications and supporting the Chief Regulatory Officer in drafting those applications.
• Coordinating the staff onboarding training plan to ensure that training and file checking is completed in sufficient time ahead of the completion date.
• Ensuring that areas of improvement highlighted in due diligence are factored into the training plan and validating that those improvements have been achieved ahead of completion.
• Overseeing PI renewals, ensuring that PI policies are maintained. Where relevant, drafting PI proposal forms on behalf of vendors.
• Completion of RegData returns, ensuring that returns are submitted on time and, where relevant, drafting returns for submission to the FCA.
• Ensuring that Perspective's policies and procedures are embedded within the acquired firm ahead of completion and overseeing the resolution of cases that do not meet Perspective's policies.
• Drafting of procedures and working to ensure that roles and responsibilities are coordinated across the regulatory function.
• Oversight of file review remediation requirements.
• Robust and timely administration and record keeping.
  
  Minimum of 3 years financial services industry experience, preferably in a project management role.
• Diploma in Financial Planning (or equivalent).
• Be able to manage multi case workloads through a multi [1] stage process.
• Excellent attention to detail and analytical ability, with a high standard of both written & verbal communication skills.
• Highly organised with the ability to work to tight deadlines, when required. Working knowledge of the UK regulatory framework.
• Showing initiative, with a proactive approach to tasks.
• Confidence with IT and office software packages including Teams, Outlook, Word and Excel.
• Flexibility / adaptability to cope with change.
• A team player with a positive attitude.
• Able to work independently and meet deadlines.
• Comfortable in a high growth and ever-changing business.
  
  Location: Home Based
Hours: Monday - Friday 9am to 5pm with a one-hour break (35 hours) Salary: Competitive, dependant on experience and qualifications (available upon request), 25 days holiday (rising with length of service) plus Bank Holidays, Birthday Leave, Holiday Purchase Scheme, Life Assurance, Pension, Corporate Eyecare and Extras Discount shopping discounts.