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
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