Our client is a boutique Wealth Management/Private Client Stockbroking firm based in the City. They are looking for a Compliance Officer to support the Head of Compliance to ensure that the firm meets its regulatory requirements.
THE RESPONSIBILITIES:
To carry out activities, as allocated, in line with the compliance department areas of responsibility to help mitigate conduct and regulatory risks.
To support oversight of regulatory processes across the business ensuring compliance with regulatory requirements and internal policies and procedures.
Where appropriate, to support decisions regarding conduct and regulatory risks, including review and challenge of business initiatives and processes.
Where appropriate, to raise and escalate issues and ensure these are appropriately resolved.
To support the development and implementation of training requirements based on the outcome of departmental activities and as part of the wider Compliance training plan.
To assist in business and compliance projects, ensuring that all regulatory requirements are met.
To contribute to regular daily/weekly/monthly activities as required.
To ensure that all internal and external deliverables, including FCA returns, notifications and applications are completed in a timely fashion and to a high quality.
To undertake day to day compliance tasks depending on the needs of the team.
To represent the team internally at compliance related events and working groups, as and when requested, and providing feedback to the Head of Compliance and the wider business where appropriate.
To proactively engage with professional bodies and trade bodies in order to enhance the firm’s knowledge base.
To maintain knowledge of the regulatory environment and where relevant technical knowledge and apply knowledge to the business as required.
EXPERIENCE REQUIRED:
Experience working within a generalist Compliance role, ideally within the wealth management/asset management sector.
Good / very good, practical understanding of FCA regulation and all other relevant regulations to the firm including COBS, SYSC and CASS risk.
Understanding of how the regulatory environment applies.
Good verbal and written communication skills.
A practical understanding of Excel spreadsheets, access databases and web-based applications.
For further information please contact Marcus Courtney
