16 days ago
Investment and Financial Planning firm, located in the North West, are currently looking to hire a Regulatory Review Officer on a 12 month fixed term contract.
Key responsibilities include:
- To carry out investigative and surveillance work across the Group.
- To conduct interviews with senior personnel in relation to findings.
- To implement the regulatory file review process and work and to complete any and all work in an accurate and efficient manner.
- In the case of non-compliance ensure that relevant and accurate details are presented to the business for resolution.
- To maintain and develop good working relationships with internal staff members and teams including senior personnel.
- To be prepared to spend time away from home; regular travel to the Regional offices to complete work.
- To maintain full and accurate records of any and all work carried out.
- To produce timely and accurate reports for business consideration.
- To provide an advisory service on regulatory issues and help to provide an efficient and effective service to the Group.
- To contribute to and carry out projects as required.
- Carry out any and all compliance duties as required in a prompt and efficient manner.
- Demonstrable/previous experience within an Investments / wealth management business.
- Experience reviewing Investments files.
- Knowledge of FCA regulations in relation to Investments / Wealth Management
- Diploma level qualified