Marlborough Fund Managers Limited was formed in 1986. The wider Marlborough Group consists of a number of businesses which provide products and services in the Financial Services arena. The Group continues to see strong positive organic growth and will look to continue to expand through further acquisitions where this is viable. The Marlborough Group has more than £10 billion under management in a mixture of unit trusts, open ended investment companies (OEICs) and discretionary management portfolios.

Team Aims

• To provide assurance to the Board, Directors and management that the business is operating in a compliant manner, through regular and ad hoc monitoring and reporting
• Provide analysis and early warning of regulatory change which may impact the business
• Implement company policies covering financial crime, including; anti-money laundering / counter terrorist financing, fraud, market abuse and anti-bribery & corruption
• To provide advice and guidance to the Board, Directors, management and staff to help them meet their regulatory responsibilities
• To help raise awareness of the laws, regulations and industry standards which apply to the business
• To identify good and bad practice providing feedback on failures in controls, recommendations for improvement and, where appropriate, remedial action

Role Purpose

The role will involve assisting the Compliance Team in ensuring the business continues to meet its regulatory responsibilities.

Primary Responsibilities

1. Undertaking compliance monitoring and preparing reports to business management
2. Undertake the monitoring and analysis of regulatory change and assessing the potential impact on the business
3. Undertake the review and approval of financial promotions and other customer communications
4. Work on projects, as allocated from time to time by the Compliance Manager.
5. Undertake ‘know your customer’ and ‘anti-money laundering’ checks in line with the company’s financial crime policies 
6. Provide advice and guidance to the business, in response to general compliance queries
7. Assist with the update and maintenance of general Compliance procedures
8. Assist with the preparation of regular Compliance Management Information and ad hoc reports / papers
9. Maintain key compliance spreadsheets /registers and complete general compliance administrative tasks
10. Identify areas for improvement in the team’s processes and procedures
11. Assist with the preparation for external visits, such as Depositary reviews and regulatory visits

Primary Skills Required

Excellent written and verbal communication skills

Strong numerical ability

Ability to problem solve and deal with complex queries

Strong analytical skills

Ability to use initiative and work unsupervised in a proactive manner

Attention to detail

Ability to manage multiple projects

Ability to prioritise

Secondary Skills Required

Good knowledge of Microsoft Excel, Word and PowerPoint

PC literacy and internet skills

Qualifications

Completed or working towards IOC (Investment Operations Certificate) or prepared to undertake this qualification on joining

Experience

A minimum 2 years compliance experience is essential

Fund experience is preferred, or compliance experience within a regulated financial services environment.

Personal Qualities

Comfortable communicating with stakeholders at all levels, both internally and externally

A flexible and adaptable approach to the changing environment

Ability to function as part of a team

Confident manner both written and verbally

Ability to work under pressure to meet deadlines

Positive attitude

Ability to be flexible and learn quickly

Ability to make a positive contribution to the Company

Company Benefits

• Competitive salary with annual salary reviews
• 9% non-contributory pension
• Option to buy / sell up to 5 days annual leave
• Annual discretionary bonus scheme
• AXA 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
• Additional 0.5 days discretionary Christmas leave your birthday off
• Christmas party and paid for social events during the year
• 13 weeks fully paid maternity leave
• 2 weeks fully paid paternity leave
• Perkbox membership - access to more than a hundred rewards, ranging from free food in major UK restaurants, to movie tickets, to phone insurance and more.