THE COMPANY:

Our client is a boutique investment firm, offering services including wealth management and planning  along with corporate advisory/ broking activities

 

 

 

 

 

THE RESPONSIBILITIES:

  • Develops initiates, maintains, and revises policies and procedures for the compliance function of the firm
  • Draft an annual compliance monitoring plan and undertake the agreed activities and reporting
  • Actively engages in the day-to-day operations to ensure comprehensive oversight of the compliance framework, embodying a hands-on, roll-up-your-sleeves ethos.
  • Ensuring effective internal controls and management information systems are in place.
  • Work with HR to ensure the firm’s overall compliance with SMCR
  • Provide guidance and support to other departments to ensure they understand and adhere to regulatory requirements and industry best practices.
  • Responsible for regulatory reporting.
  • Ensure appropriate management information and reports provided to the committees and boards
  • Assist in embedding a strong compliance culture throughout the organisation
  • Acts as an independent review and evaluation body to ensure that compliance breaches/issues/concerns within the organisation are being appropriately evaluated, investigated and resolved.
  • Develop and deliver compliance training and awareness programmes for staff
  • Act as a key liaison with regulatory bodies
  • Manage the compliance team ensuring appropriate development of their skills
  • Work closely with the SMF17 to ensure no gaps in the systems and controls to combat financial crime.
  • Responsibility for the group’s market abuse controls.

 

 

 

 

 

 

EXPERIENCE REQUIRED:

  • SMF 16 responsibility experience or extensive experience as a deputy compliance officer in a retail/wealth management environment
  • Experience in actively managing a small team, providing mentoring and guidance to enhance the compliance function’s performance and capabilities.
  • Open and transparent with excellent communication and interpersonal skills

 

 

 

 

 

 

 

 

For further information please contact Natalie Eshelby

Back to industry news