Compliance Officer

Investment Management Compliance Officer - Leicester - £35k - 45k Plus Benefits - Pensions & Wealth

My client is a well established Pensions and Wealth Management organisation in need of a talented Investment Investment Management Compliance Officer

Investment Management Compliance Officer Responsibilities:

Conduct audits and provide assurance that the Investment Division are complying with the FCA Sourcebook.
* Give assurance that the Investment team`s processes and procedures are kept up to date.
* Provide consultancy work along with other members of the Compliance team to assist the Investment Division to implement and incorporate FCA rules and regulations.
* Escalate any sensitive issues to the appropriate level in the organisation.
* Monitor and review the implementation of recommendations with the Investment Division.
* Provide assurance reports to the Audit, Risk and Compliance Committee and any external parties.
* Prepare management information and reporting data to relevant parties - both internally and externally.
* Support the Investment Division with project work, staff training, procedural and administrative tasks.

Investment Management Compliance Officer Essential skills:

* Proactive, enthusiastic and driven approach.
* Detailed regulatory knowledge, covering the Conduct of Business (COBS), Collective Investment Scheme (COLL) and Investment Funds (FUND) Sourcebooks.
* Experience in monitoring and reviewing the provision of investment services, preferably in a compliance role.