Compliance Analyst required for an AIM-listed integrated wealth management group, with a growing network of offices across the UK as well as offices in New York and Johannesburg. Clients range from private individuals to some of the UK’s largest universities. The Group’s vision is to become a leading global provider of trusted wealth planning and investment management solutions to clients, underpinned by investment in people and innovation in technology to support advisers and clients.
• Maintain and update a full suite of compliance policies and manual
• Ensuring PA and PDMR dealing policies are fit for purpose, understood, and followed.
• Management of Companies House filings, FCA registrations, authorisations, and regulatory returns.
• Maintenance of the company errors and breaches log.
• Manage the effective maintenance of the Senior Manager & Certification Regime amongst certified and conduct rule staff.
• Manage the roll out of company-wide compliance training.
• Provide support the Chief Risk officer is his role as Money Laundering Reporting Officer (MLRO) and Data protection officer (DPO)
Skills and experience
• 2-3 years’ experience in a Compliance role within Wealth Management
• Familiarity with FCA systems and returns
• Experience of Compliance Policies and Manuals and their maintenance.
Additional desirable experience:
• Data Protection
• Money Laundering