GROUP COMPLIANCE MONITORING ANALYST

Marlborough Group is a successful investment business that manages over £15 billion for over 200,000 clients and employs some of the UK’s most respected fund managers. The Group has its headquarters in Bolton and offices in London, Lichfield, Peterborough, Bristol and Dublin. The Group employ more than 150 people across its business lines being: Marlborough Limited – The Group’s investment management business Investment Fund Services Limited – The groups Authorised Corporate Director (ACD) Authorised Fund Manager business Select Platform – The Group’s platform business Marlborough Group’s success has been built on a reputation for excellence in active fund management, with the Group leading the way in industry expertise, service quality, product understanding and added value for our investors. As we continue with our ambitious growth plans, we are looking for talented people who share our values and will grow and develop as financial services professionals. That means putting our investors at the forefront of everything we do and constantly striving for excellence in the service we deliver. In addition to receiving a comprehensive benefits package, successful candidates will join a team who are committed to collaborative working in an environment where personal and professional development are genuinely valued. Role Purpose Be a trusted business partner with the capacity to get things done, through persuasion, collaboration and effective communication. You will deliver reviews within the Compliance Monitoring Programme. This includes oversight and challenge to the business, in support of the right customer outcomes. Key Responsibilities Conduct Compliance Monitoring Reviews within the Group Compliance Monitoring Plan to a high-quality standard. Undertake all aspects of the reviews including: Business intelligence. Scoping the activity. Review and interpret the relevant regulatory rules and produce a risk-based testing plan. Perform the field work for the review, including recording evidence of testing. Analyse potential issues and produce high quality draft and final reports. Agree management actions, and record, report and track through to completion. Accurately record time spent on monitoring activities to facilitate measurement of compliance monitoring resource. Promote a positive impression of Compliance along with a strong compliant culture. Assist with the production of management information for the Board and Committees. Update and maintain the suite of Compliance Monitoring documentation. Essential Skills: Able to problem solve and deal with complex queries. Able to prioritise and work to strict deadlines. Attention to detail. Strong written and verbal communication skills. Good stakeholder management, at all levels. Able to persuade and influence. Good numeric skills. Essential Qualifications: 5 GCSE’s Grade A - C (must include Mathematics and English) Beneficial Qualifications: Completion or working towards the Investment Operations Certificate (IOC). Compliance certificate or similar compliance qualification Essential Experience: Good knowledge of FCA handbook rules. 3 years compliance monitoring experience at an FCA regulated firm Beneficial Experience: Experience at an investment management or fund management company Personal Qualities: Work collaboratively as part of a team. Able to work under pressure. Positive attitude. Flexible and able to learn quickly. Friendly and approachable. Resilient. Ability to make a positive contribution to both the team and the Company. Competitive salary with annual salary reviews 25 days annual leave plus statutory bank holidays 9% non-contributory pension Annual discretionary bonus scheme Private Healthcare Scheme Death in Service at 5 x annual salary 35 hour working week Training for IOC and other relevant qualifications Exam completion bonus £500 (IOC) Study leave Cycle 2 work scheme Eye test reimbursement Your birthday off 13 weeks fully paid maternity leave 2 weeks fully paid paternity leave