Job Description: Our client operates in the Wealth Management space and they are looking for a Compliance Executive to join their team.
The role will involve:
• To keep abreast of proposed regulatory change within the industry and to support in the formulation of relevant process and policy changes throughout the business, whilst minimising the impact to relevant stakeholders
• Participation in the ongoing monitoring of regulated professionals through KPI data analysis and thematic reviews
• Participation in regulatory reporting, contractual review, regulatory applications, capital adequacy monitoring and insurance arrangements
• Participation in the timely authorisation of promotional content in line with the Firm’s Financial Promotions guidance
• Preparation and management of external audits and responsibility for the dissemination of audit feedback and ensuring that any remedial action is resolved within recommended timescales.
• To provide regulatory support to Group projects offering guidance and proposed solutions following extensive research
• To contribute to the maintenance and completion of the annual Compliance Monitoring Programme
• Qualified to at least QCA Level 4 Diploma
• Strong technological capabilities
• Experience within the Financial Services’ compliance industry
• Experience of working with Financial Advisers