SMR Assistant Manager

Location
City of London, England
Salary
£45000 - £55000 per annum
Posted
29 Mar 2018
Closes
26 Apr 2018
Ref
29564
Contact
Georgia Constantine
Contract Type
Permanent
Hours
Full Time

One of the UK's largest independent Investment firm's in the UK are recruiting for a SMR Assistant Manager. Reporting into the Head of Learning & Development, this role will be responsible for implementing and managing compliance with the Senior Managers Regime. Responsibilities of the SMR Assistant Manager include:

  • Managing the new-joiner process in relation to Senior Manager Function's and Certified Person's ensuring that the appropriate regulations are followed
  • Working with the recruitment team to ensure the required Fit & Proper due diligence checks have been completed
  • Preparing and managing SMF regulatory applications
  • Working with Supervisors of CPs to prepare Threshold Competence Trackers. Monitoring progress against the tracker, following up with the Supervisor/CP as appropriate to ensure timely completion
  • Ongoing monitoring of the Supervisors to ensure they are complying with T&C Framework in relation to the Certified Persons
  • Ensuring the individual SMF Statements of responsibilities and associated documentation e.g. role profiles, job descriptions etc. are current
  • Managing the annual Fit and Proper certification process; ensuring all due diligence checks have been completed
  • Preparing MI to support, or otherwise, the annual certification
  • Assisting the T&C Senior Manager to present the MI and necessary paperwork to the appropriate SMF for the annual certification
  • Managing relationships within the internal Compliance and Company Secretariat Departments, recruiting Team, HRBP's, SMFs and CPs
  • Ensuring all SMF and CP record and databases are accurate and updated in a timely manner
  • Working with HRBPs and Recruitment Team to ensure compliance
  • Supporting development of SMR system
  • Identifying, designing and delivering training solutions that meet Conduct Rule/SMF and CP requirements
  • Understanding and maintaining knowledge of regulatory environment and translating the requirements into policies and procedures

As the SMR Assistant Manager, you will possess:

  • Strong organisational skills
  • Ability to follow instructions and procedures
  • Ability to deliver results

If this SMR Assistant Manager role is of interest, please apply directly.

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