IF YOU aren’t afraid of a good challenge, and relish taking on the responsibility, this role is most definitely for you.
As part of your role you will:
- Undertaking compliance monitoring reviews with a particular focus on suitability of recommendations and investment decisions
- Support the Compliance team and build relationships within the business. The recommendations, based upon the findings will be effectively communicated and implemented with information regularly updated to the management team
- Work to the compliance monitoring plan, undertaking reviews with particular focus on suitability reviews, identifying risks, remedial actions and recommendations and follow up actions
- Production of accurate and timely reports in respect of compliance assurance activity
- Production of accurate and timely monthly reports regarding activity and issues to the Head of Investment Compliance
- Assist in preparing the compliance monitoring plan
- Provision of feedback to senior management, investment managers and associates
- Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
- Assist the team head to manage regulatory risk, including risk identification, assessment, mitigation, control and monitoring.
- Possess strong analytical skills.
- QCF level 4 qualification in Regulated Financial Advice.
- Degree holder preferable; CFA/IMC, Compliance Diploma
- Compliance monitoring skills and experience with particular focus on suitability reviews
- Excellent knowledge of FCA Rules and regulations, in particular ; COBS; Up to date CPD
- Experience in a compliance role within an asset/wealth/investment manager environment
- Excellent communication skills; The ability to influence at all levels; good judgement and decision making skills; coaching and training skills; the ability to work with a good degree of autonomy individually, and as part of a team.
- Competent using Microsoft packages such as Word, Excel and Outlook