A fantastic opportunity has come about to join a highly reputable global Wealth/Investment advisory firm. With around 200 employees in the UK and ambitious plans to continue building out their offering across Europe, this is an exciting time to be part of an innovative and growing organisation.
Our client is looking for a capable Compliance professional to join their team in London - playing a critical role in ensuring the business continues to achieve excellent customer outcomes, whilst protecting the firm against regulatory and conduct risks.
Key responsibilities include:
Scope and conduct assigned Compliance reviews on time, observe the firm’s Compliance Monitoring Programme, and provide assurance on regulatory risk
Verify and provide assurance that the firm’s internal policies and procedures meet regulatory requirements, with any potential gaps/deficiencies escalated
Produce well written structured reports following assessment of the firm’s Compliance methodologies and guidelines
Prepare reports capturing relevant Management Information for distribution to relevant governance forums.
Perform other general compliance and regulatory tasks as directed by compliance management
2-5 years of compliance monitoring experience, preferably acquired either within a financial advisory, private wealth management or investment firm
Experience scoping and conducting compliance thematic and surveillance reviews
Understanding of the methodologies used in compliance for the review and monitoring of operations, i.e. reviewing polices; processes, and the escalation of identified control deficiencies
Experience with content of the FCA Handbook; SYSC, COBS DISP, MAR
Work collaboratively with individuals at all levels within a business environment including management and department heads
Manage complexity and coordinate across several departments under strict timelines
Excellent planning and organisational skills
Strong interpersonal and communication skills (verbal and written)