Compliance Officer

THE COMPANY:

Our client is a prestigious wealth firm.  They are looking for a Compliance Officer to join their team.  This role assists in managing compliance risk, contributing to regulatory change implementation, and helping to maintain effective policies, training, and governance.

THE RESPONSIBILITIES:

• Investor Protection compliance support and coordination:
• Assist in monitoring external regulatory and business developments
• Help develop and implement policies and procedures to reflect new requirements
• Support in analysis of regulatory developments where required
• Assist in analysing and preparing for the impact of upcoming regulatory developments
• Contribute to compliance reporting, dashboards, and management updates
• Contribute to improving the process and procedures to meet consumer duty principles and other conduct requirements within the regulatory framework, including TCF
• Provide stakeholders with sound and timely advice, guidance and support, where appropriate.
• Assist in the regular review of policies and other written guidance.
• Assist in evaluating and progressing proposed new products/ services and other business initiatives.
• Assist in developing and maintaining training, communications, and guidance
• Initial review and investigation, where required, of escalations from business assurance
• Review of regular reports related to complaints from business assurance
• Help to identify regulatory compliance risks.
• Partner with business stakeholders to support compliance objectives and business enablement
• Participate in group projects as appropriate and required
• Work within the team to help identify areas for improvement and efficiency
• Support the Compliance team and act as cover for other members where required.
• Develop and sustain technical knowledge across the products and services to ensure business is supported.
• Maintain full, accurate files/notes of key meetings and advice using core systems to store.
• Help log, triage, and track compliance issues, incidents, and inquiries
• Support root-cause analysis and follow-up actions under guidance from senior team members.

EXPERIENCE REQUIRED:

• Good understanding of UK financial regulations including but not limited to: MiFID II, Consumer Duty, FCA rulebook
• Compliance qualifications (ICA or CISI) desirable
• Financial Services compliance ideally in a wealth management or private client environment or similar
• Ability to assess and analyse information
• Ability to interpret regulation, identify risks and analyse potential control gaps
• Strong attention to detail and focus
• Good written & communication skills

For further information please contact Natalie Eshelby