Ober Private Clients is a Private Equity Investment House specialising in Enterprise Investment Schemes (EIS). We source, Structure, support and monitor exclusive Private Equity Investment Opportunities for our Investors, and initially assist in delivering an exit.Each year we scrutinise more than 500 potential Investment Opportunities, and reject the large majority. This stringent selection process assists us in ensuring that of those 10 to 12 Investments we choose each year have very… Show more Ober Private Clients is a Private Equity Investment House specialising in Enterprise Investment Schemes (EIS). We source, Structure, support and monitor exclusive Private Equity Investment Opportunities for our Investors, and initially assist in delivering an exit.Each year we scrutinise more than 500 potential Investment Opportunities, and reject the large majority. This stringent selection process assists us in ensuring that of those 10 to 12 Investments we choose each year have very special potential indeed. Not simply because they are 'exciting ideas', but because of the additional value we believe we can engineer from them.We structure our Investment Opportunities to qualify under the Government's EIS wrapper, we obtain advance assurance from HMRC to confirm they meet EIS conditions before our Clients Invest.As a Client of Obers' you will never have a 'cap' on the return you can make on the Investments we arrange for you, and, crucially, the charges you pay us will be limited to an initial procurement fee and a back-end performance fee. Furthermore, you will only pay a performance fee if your Investment doubles or more on exit. Show less

Responsible for Designing, implementing and executing a risk based Compliance Monitoring Programme for Infinity Asset Management. Day to day oversight of personal account dealing, market abuse monitoring and FCA transaction reporting monitoring. Oversight of all aspects of the day to day financial crime controls. Responsible for overseeing the training & competence regime of approved persons and the fitness and propriety annual review. Compiling and managing the monthly compliance bulletin for… Show more Responsible for Designing, implementing and executing a risk based Compliance Monitoring Programme for Infinity Asset Management. Day to day oversight of personal account dealing, market abuse monitoring and FCA transaction reporting monitoring. Oversight of all aspects of the day to day financial crime controls. Responsible for overseeing the training & competence regime of approved persons and the fitness and propriety annual review. Compiling and managing the monthly compliance bulletin for the firm's approved persons and the governing body. Responsible for the sign off of financial promotions in accordance with FCA Rules. Responsible for regulatory change management to ensure that any regulatory change is incorporated into the firm's compliance policy and procedures, and organising any necessary training. Day to day maintenance of Breaches Register, Insiders Register, Gifts and Hospitality Register. Main point of contact (both internal and external) for all compliance queries and regulatory issues. Overseeing adherence to FATCA, DAC and CRS reporting requirements to the HMRC. Show less

Monitor all external regulatory developments and engage with management to upgrade systems and processes where relevant. Ensure breach oversight was embedded across all of the regulated estate. Respond to technical queries by senior managers. Identify and understand how the regulations and legislations may affect Serco and their clients’ operations. Commission change activity as necessary and collaborate with the businesses and project owners. Provide a high degree of visibility representing… Show more Monitor all external regulatory developments and engage with management to upgrade systems and processes where relevant. Ensure breach oversight was embedded across all of the regulated estate. Respond to technical queries by senior managers. Identify and understand how the regulations and legislations may affect Serco and their clients’ operations. Commission change activity as necessary and collaborate with the businesses and project owners. Provide a high degree of visibility representing Serco’s Governance department within the regulated estate. Support the department’s efforts on relevant compliance projects including the assistance in the development of compliance procedures. Oversee production of compliance MI. Assist and support in the development, initiation, maintenance and revision of policies and procedures. Lead in the development of a strong compliance culture throughout the regulated estate by engaging with working groups in relation to TCF, operational compliance and change management. Sign-off changes to processes which have a compliance element. Sign-off (in co-operation with clients) of Financial Promotions, scripts and other relevant materials and to develop and maintain an appropriate record keeping mechanism for this. Show less

Ensure Statutory & Legislative changes are identified, reviewed & communicated to Senior Management and the wider business. Write policy & procedure for the operation to ensure regulatory and legislative obligations are met. Create training content for the operation to ensure regulatory, legislative & internal control requirements are understood. To act as a second line point of contact for all financial crime queries taking appropriate action to support the operation in a timely & effective… Show more Ensure Statutory & Legislative changes are identified, reviewed & communicated to Senior Management and the wider business. Write policy & procedure for the operation to ensure regulatory and legislative obligations are met. Create training content for the operation to ensure regulatory, legislative & internal control requirements are understood. To act as a second line point of contact for all financial crime queries taking appropriate action to support the operation in a timely & effective manner. Maintain Regulatory content on the intranet by updating documentation and removing obsolete material. Support business initiatives & projects ensuring appropriate regulatory controls are embedded and identifying any concerns to the Compliance Officer Show less

Responsible for supporting the business to ensure it complied with all relevant legislation & regulation. Reviewing regulatory requirements across a range of regulatory bodies and providing advice to the business in order to drive and support its compliance efforts. To support the development of a strong compliance culture throughout the regulated estate by engaging with working groups in relation to TCF, operational compliance and change management. Working with the operational areas to… Show more Responsible for supporting the business to ensure it complied with all relevant legislation & regulation. Reviewing regulatory requirements across a range of regulatory bodies and providing advice to the business in order to drive and support its compliance efforts. To support the development of a strong compliance culture throughout the regulated estate by engaging with working groups in relation to TCF, operational compliance and change management. Working with the operational areas to sign-off changes to processes which had a compliance element. To assist all operational areas with day to day queries of a compliance or regulatory nature. Show less