Matt Carter

Role Overview To support the effective operation of the Group’s compliance framework. The role ensures adherence to FCA regulations, GDPR, internal policies, and wider regulatory obligations by conducting monitoring activities, undertaking audits, managing documentation, and contributing to a culture of regulatory excellence. Some Key Responsibilities:Support the implementation of an appropriate monitoring regime across all group entities to ensure compliance standards are maintained and timely remedial actions are taken where necessary.Support the approval of financial promotions across the group to meet regulatory and internal business standards prior to approval, maintaining consistency in interpretation and application.Stay informed of changes in the regulatory landscape and assist the team to assess potential impacts on the group's operations, working proactively with senior colleagues to develop plans that ensure continued complianceSupport the timely and accurate submission of regulatory information and notifications to the FCA, and the completion of relevant group-level regulatory returns. Experience & Qualifications:Experience in a similar Compliance positionPrevious experience in a similar role within the Wealth & Investment Management/ Financial Planning SectorCII level 4 Diploma in Financial Services and/or relevant compliance qualification or happy to work towards

Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector

Senior CASS Specialist Some Key Responsibilities:Support the business on CASS technical query escalationsPreparation and delivery of CASS adherence reports/opinion to the Executive Team and the BoardWork closely with the 2nd line risk and compliance function in management changes to the CASS regulatory environmentProduce and maintain CASS policies / frameworks as required.Support the design and implementation of a first line CASS oversight function within operationsOwnership and maintenance of CASS Control Matrix, including monthly attestations and sample testing Experience & Qualifications:Strong interpersonal and communication skillsCASS knowledge, in particular CASS 6,7 and 8Experience in a similar CASS oversight roleCASS CISI qualification, Investment Management Certificate (IMC), Operations Certificate (IOC) or equivalent industry recognised qualificationPrevious experience in a similar role within the Wealth & Investment Management/ Platform sector