Regulatory Compliance Specialist
Overview
The Regulatory Compliance Specialist at Prescient is responsible for supporting the regulatory compliance function by ensuring that all marketing and communication materials related to collective investment schemes (CIS) are reviewed, submitted, and maintained in accordance with applicable legislation, particularly Board Notice 92. The role emphasizes stakeholder coordination and regulatory engagement, alongside monitoring compliance as capacity allows.
Requirements
- Experience working in financial services, or in a legal/compliance related role preferred.
- Relevant tertiary qualification, for example: degree or diploma in finance/commerce/law (or studying towards a relevant tertiary qualification).
Responsibilities
- Reviewing all relevant marketing material pertaining to Prescient’s collective investment funds and foreign funds registered under section 65 of CISCA.
- Leveraging technical systems, including AI, to identify non-compliant disclosures, inconsistencies, or omissions.
- Building strong working relationships with internal and external stakeholders, particularly investment fund managers.
- Ensuring that all managers are aware of applicable legislative requirements.
- Coordinating and tracking submission timelines and ensuring timely responses.
- Monitoring Prescient’s and other managers' websites for compliance with legislation and industry standards.
- Involvement with ad-hoc investment and regulatory compliance tasks and projects.
How to apply
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