An outstanding opportunity for an experienced Compliance professional to join a high growth Wealth Management business and take ownership of all regulatory functions.
- Responsible for the Compliance Monitoring Programme, including testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management.
- Assisting management to develop and implement the Risk Management Programme including organizing analysis, performing audits and recommendations for risk mitigation.
- Client account monitoring processes for AML and market abuse.
- Reviewing and signing off financial promotions and other marketing material in accordance with FCA rules and internal policies.
- Working with other team members to manage the customer complaints process and providing assistance where appropriate to resolve outstanding issues.
- Assisting with enquiries from the FCA, the Financial Ombudsman Service and other relevant UK and overseas authorities, in consultation with the CEO and the Chairman, external compliance consultants and legal counsel as appropriate.
- Maintaining the FCA Approved Persons register entries for the company on an up to date basis.
- Overseeing investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures.
- Working closely with HR to provide, or make arrangements for, compliance training for company staff as appropriate to include Anti- Money Laundering, Market Abuse, Treat your Customers Fairly and Complaints Handling.
Skills & Experience
- Experience within Financial Services Compliance or Legal functions.
- Understanding of the UK regulatory landscape ideally from working within Investment / Wealth Management.
- A keen eye for detail, excellent communication and problem solving skills.