£65,000 - £80,000 + Bonus + benefits
9 months ago
My client is a long established and highly regarded financial services organisation.
An exceptional opportunity exists for an individual to support the Head of Compliance in acting as the main compliance advisory support within the company, focussing on support for the front office on a wide range of FCA/PRA issues and with the ability to focus on wider European issues.
- Undertake periodic client file reviews for compliance with the FCA rules and suitability of investments for clients, and providing investment-related advice.
- To provide support and advice to the investment management process, including review of portfolio allocation and new product process.
- Support training initiatives for the company as a whole, working with HR and others to develop a compliant, business-oriented culture.
- To undertake thematic and specialist reviews across the business in respect of specific regulatory topics and issues as they arise.
- To assist in the identification of gap analysis and implementation of relvenat regulatory measures and industry guidance pertaining to the regulated activities of the company. To produce summary reports and impact assessment of consultation documents where requested.
- To lead and develop a team of two Compliance Advisory Managers
- A deep understanding of Compliance as a discipline, preferably within a wealth management, private banking environment, and the subsequent benefits from such implementation. They are open to considering candidates across other sectors within Financial Services providing they have operated at the right level.
- Motivates/inspires the team and its members to perform and add value to the broader firm
- Confident and comfortable communicating with teams and individuals across all hierarchical levels e.g. Team members, Directors, Board.
- At least 3 years in a similar role at a FCA and/or PRA regulated firm.
Salary range is broad and commensurate with experience but will reflect the significance of the role.