Tutman Compliance Analyst
Location: Remote or hybrid working will be considered.
We have a new exciting opportunity for a Compliance Analyst to join our Tutman Compliance team.
Tutman is an independent Authorised Fund Manager who, as part of its business model, outsources critical functions to third party delegates.
The primary function of the Tutman Compliance team is to oversee the compliance of Tutman’s delegates through their operation of effective systems and controls, in conjunction with the wider Tutman team and other group functions (e.g. CASS, Finance, IT and Risk). This oversight takes place through our robust initial and ongoing due diligence and breach management process.
Responsibilities will include:
- Performing compliance monitoring on our delegates which will predominantly be desk-based but will also involve due diligence visits (mainly London);
- Performing compliance monitoring on internal first line controls, as part of Tutman’s second line of defence;
- Providing timely governance reporting into committees/Board using the format and on the frequency specified;
- Participating in audit reviews performed by third parties;
- Reviewing fund project material and attend project calls and visits where required.
- Attending service review, committee and internal meetings as required and provide advice, guidance and challenge where appropriate.
The job holder should have proven financial services experience from working in an investment management environment and have a good understanding of FCA regulatory requirements. Experience of working for an Authorised Fund Manager or delegate (e.g. Transfer Agent, Fund Administrator) would be an advantage.
An industry qualification (e.g. Investment Operations Certificate) is preferable.
It is essential that candidates have exceptional communication skills (to interpret and explain complicated matters in plain language), a straightforward approach and are able to build good rapport with internal and external stakeholders.
If you are looking for your next role within financial services and feel you match what we are looking for, then we would like to hear from you.
In return, we offer a variety of benefits, including a competitive salary, 25 days holiday (rising to 27 days with length of service), Private Medical Insurance, Life Assurance, Group Income Protection and a generous contributory pension scheme.
It will be a requirement for the successful candidate to complete satisfactory reference checks (including, but not limited to, a DBS check, financial checks and employment references).
If you are interested in this position, or would like any further information, please contact HR by email at: email@example.com.
Closing date for applications: 11 April 2022