Associate Regulatory Specialist
2 weeks ago
Product Governance Role
As part of a small team reporting into the Product Governance Team Leader, you will be an Associate member of the team responsible for the creation and maintenance of regulatory documents, including prospectuses and KIID, in accordance with applicable regulations and industry standards.
Key Responsibilities
- Review and ensure that scheme documentation, including prospectuses, simplified prospectuses, KIID, PRIIP, and EMT, are in line with regulatory requirements.
- Assist with projects and updates, organizing and contributing to the team's workload.
- Collaborate with cross-functional teams to establish product governance throughout scheme documents, frameworks, and processes.
- Track and update MI on progress of prospectus approval matters with the FCA and depositary.
- Maintain ongoing procedures and policies to ensure compliance.
Requirements
- Ability to work to deadlines and manage high-volume workloads.
- Excellent interpersonal skills for liaising with internal and external stakeholders.
- Experience working in a regulated firm in the financial services industry.
- Strong record-keeping and written and verbal communication skills.
- Attention to detail and a team-oriented approach.
- Ability to manage time and prioritize workloads.
Desirable Qualifications
- Experience with regulations applying to authorized Collective Investment Schemes.
- Completion of IMC modules.
Education
- A degree in Finance or Accountancy is preferred.
Company Overview
Riverforest Connections Private Limited is a company committed to excellence in product governance and regulatory compliance.
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