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Senior Specialist, Compliance

Please Note: The application deadline for this job has now passed.

Job Introduction

  • Ensure an effective regulatory compliance service is provided to all areas of SS&C Hubwise’s business.
  • Maintain awareness of and provide analysis of regulatory requirements.
  • Provide an effective risk and rules-based Compliance monitoring service to SS&C Hubwise.
  • Assist SS&C Hubwise in meeting its own regulatory obligations and the relevant commercial obligations it has with its clients.
  • Promote high ethical standards within SS&C Hubwise.

Role Responsibility

• Review regulator and industry body websites to track and analyse regulatory change that will impact SS&C Hubwise and its Client Firms.

• Deliver analysis of regulatory change to internal and external stakeholders on a timely basis and provide regulatory advice and support on regulatory change to all levels of management and business areas.

• Provide Regulatory SME Support to internal and external stakeholders by responding to regulatory queries and involvement in project work.

• Conduct thorough and comprehensive Compliance monitoring reviews of all aspects of the business, encompassing the design and operational effectiveness and adequacy of departmental procedures and controls.

• Contribute to the development and maintenance of the Compliance Monitoring Risk Assessments and resulting monitoring plans.

• Meet with Senior Management to discuss report recommendations and evidence exceptions.

• Review, maintain and oversee compliance with Regulatory Compliance Policies, the Corporate Governance Manual and Risk & Compliance Manual.

• Production of Compliance information for executive and board packs.

• Carry out other tasks as directed by the Line Manager.

The Ideal Candidate

Essential

• Previous experience of providing second-line Compliance support in the Financial Services industry.

• Understanding of relevant rules and regulations and how they apply to the SS&C Hubwise business, including the FCA, HMRC, relevant UK and offshore legislation and SS&C standards and policies.

• Specialist knowledge of the rules and regulations relating to MiFID Firms and Platform Service Providers as well as client money and assets (CASS).

• Compliance Monitoring, Risk Assurance and/or Internal Audit experience. 

• Excellent attention to detail.

• Good interpersonal skills.

• Flexibility to work solo or as a member of a small team within a structured team environment.

• Strong sense of what’s right and what’s wrong and willingness to challenge and escalate as required.

• Build strong collaborative relationships.

• Ability to work and prioritise workload in a highly pressurised environment within tight deadlines.

• Strong organisational and presentation skills.

 

We encourage applications from people of all backgrounds and particularly welcome applications from under-represented groups, to enable us to bring diversity of perspective to our thinking and conversation. It's important to us that we strive to have a workforce that is diverse in the widest sense.

All offers of employment are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.

SS&C

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