ABOUT THE ROLE
Our client are looking for an Operations Compliance Manager with a passion for UK real estate to join their fast paced, dynamic and friendly team.
Whilst you will be required to work with minimal supervision when necessary, you will play an important role in their integrated team, where Asset Management, Property Management, Investment Management, Investor Reporting, Directors and Ops all work closely together.
This is a great opportunity for an individual looking to contribute to the success of a growing organisation and assist with enhancing process and policies.
You will be responsible for supporting the Director of Operations in ensuring the company adheres to its external regulatory requirements and internal policies.
You will advise on general risk management and compliance processes and assist with general due diligence activities.
Client Onboarding Duties:
- Oversight of client onboarding and client verification checks.
- Assisting with co-ordination of contracts and documentation and liaising with law firm partner where appropriate.
Operational Compliance Duties:
- Assess operational and compliance risks, maintain the Risk Register and enhance risk management strategies. Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
- File appropriate compliance reports with regulatory agencies, including RICS and HMRC (AML). Assist with external audits or reviews undertaken by regulatory bodies or clients as required.
- Monitor external regulatory environment and assess the potential impact of these changes on the firm’s processes. Discuss emerging compliance issues with management or employees.
- Provide employee training on compliance related topics, policies, or procedures.
- Oversee firm committee compliance, including Investment Committees and Sales Committees.
- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.
- Identify compliance issues that require follow-up or investigation and conduct the internal investigation of any issues.
- Maintain documentation of compliance activities, complaints log and investigation outcomes.
- Support with annual insurances placement, liaise with insurance broker.
- Tracking Human Resources-related regulations and laws affecting daily operations and ensuring HR compliance tools, such as the staff handbook, are maintained accordingly.
- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.
- Creating and presenting training to management and employees on HR- related firm policies such as Code of Conduct, Anti-Bribery and Conflicts of Interest.
- Collaborate with human resources to support the implementation of consistent disciplinary action strategies and employee conduct violations.
- Consult with law firm and insurance partners as necessary to address any complex compliance issues.
- Assist with IT compliance and security reviews and provide oversight and monitoring support in all required areas.
- Assist in regular business continuity and disaster recovery testing as appropriate.
KEY PERFORMANCE INDICATORS:
- Accurate and timely delivery of reports internally and externally
- Meeting regulatory requirements
- Ensuring the business is audit ready at all times
- Ensuring policies are in place and up to date for all client and operational process
SPECIAL REQUIREMENTS (e.g. travel, unsocial hours)
- Hours of work for this role are 5 days a week 9.00 am – 6:00 pm based in the Company’s London office
- Must be flexible and able to work extended hours if necessary
- May be required to travel both within the United Kingdom and abroad
- Ownership / Doing the right thing:
- Self-motivated, with the ability to work with minimal supervision when necessary
- Responsive and helpful
- Excellent verbal and written communication skills
- Use initiative when dealing with complex situations, seeking help when required
- Ability to prioritise, work effectively and respond well under pressure
- Complete and meet tight deadlines
SKILLS AND EXPERIENCE
- Competent business user of MS Office software including; Word, Excel
- Proven work experience in compliance role (3-4 years)
- Knowledge of property industry is desirable
- Good numerical and literacy skills to 5 GCSE’s or equivalent including mathematics and English or proven work experience in similar role
- A Level education or equivalent desirable but not required
For further information please contact Louisa –
020 3947 3253