Job Description: You will provide support to the Head of Risk and Compliance, assist with the implementation of the firm’s risk and compliance policies and procedures, undertaking specified monitoring checks and controls aimed at assisting the firm in maintaining compliance with rules, regulations, legislation and the firm’s policies.
The role will involve:
• Providing regulatory advice to the Wealth Management business
• Drafting and updating Compliance policies
• Responding to Regulatory contacts and or investigations
• Investigating and responding to Wealth Management complaints and Financial Ombudsman investigations
• Contributing and drafting management reports for various Committees and maintaining the key Management I
• Attending Wealth Management committee meetings on behalf of Head of Compliance Wealth Management
• Responsible for identifying new regulations applicable to the business, communicating and tracking the successful implementation of the regulation where relevant.
• Assisting the Head of Compliance Monitoring in carrying out assurance and risk assessment of Wealth Management activities and controls including breaches.
• Provide Regulatory Training to stakeholders in the firm
• Minimum two years Compliance experience within the Wealth Management space.
• Relevant industry qualifications