Marlborough is a rapidly growing investment group that manages more than £11 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, Staffordshire, Guernsey and Dublin.

The companies in the group – Marlborough Fund Managers, Marlborough Investment Management, Marlborough International, Investment Fund Services Limited (IFSL) and IFSL International – employ more than 170 people.  Marlborough’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 financial services professionals who share our values and can help us ensure they remain at the heart of the business. 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

• To assist the Compliance Officer with oversight of the firm’s Compliance Oversight and Risk programme, covering due diligence, company policies and procedures, internal audit and risk management

Key Responsibilities

• Assist the Compliance Officer with oversight of the firm’s business model, risk management and related due diligence, primarily in Lichfield and from time to time at other Marlborough Group locations;
• Maintain key compliance spreadsheets and registers;
• Support the Compliance Officer in undertaking compliance monitoring and assisting in the preparation of reports to management;
• Assist with the update and maintenance of Compliance procedures;
• Assist with the monitoring and analysis of regulatory change and assessing the potential impact on the business;
• Assist with and lead compliance projects;
• Identify areas for improvement in the firm’s existing processes and procedures and bring them to the attention of the Compliance Officer;
• Propose ways to make the department’s processes and procedures more scalable and/or efficient;
• Undertake additional projects as directed from time to time by the Compliance Officer.

Essential Skills:

• Excellent written and verbal communications skills
• Ability to problem solve and deal with complex queries
• Strong analytical skills
• Ability to influence and persuade others
• Strong numeric skills
• Ability to use initiative and work unsupervised in a proactive manner
• Attention to detail
• Ability to manage multiple projects
• Ability to prioritise
• Ability to apply both commercial judgement and regulatory compliance to decision making