Home-Based

​Job Description: The successful candidate will assist the Senior Compliance Manager with Regulatory Due Diligence exercises, comprising reviews of systems and controls, suitability of advice, identification of risks and understanding a target firm’s culture all of which will be summarised in a formal written Report for Board consideration.

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Key responsibilities include:

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•Support the execution of regulatory due diligence and assist in ensuring findings/conclusions are appropriately considered in line with regulatory and internal compliance requirements

•Identify regulatory risks, escalating significant concerns to the Senior Compliance Manager

•Preparation and review of monthly reports

•Assist and support in other areas of Compliance as required

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The Person:

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•Prior experience operating in the Wealth Management space.

•Have experience working for a consultancy or compliance service provider or contributing to Regulatory Due Diligence exercises.

•Have a high level of attention to detail and have an analytical and inquisitive mind.

•Understand FCA rules and regulation. A sound understanding of COBS, TC and FIT would be advantageous

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.

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