Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.
THE RESPONSIBILITIES:
Assist with ensuring that compliance related directives, policies & procedures remain up to date
Assist staff with interpretation of rules and assist in development of a positive compliance culture
Assist in maintaining standards of regulatory risk management
Approval of new financial promotions
Ownership of the complaints handling
Being the lead on investigating breaches
Oversight of and involvement in testing reviews, involving horizon scanning and gap analysis vs regulatory requirements
Completion of tests and the drafting of results and review write ups.
Managing the completion of multiple simultaneous reviews where required
Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures
Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
Investigate and report upon breaches of regulations and assist with remedial action
EXPERIENCE REQUIRED:
Extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities
Experience of producing compliance risk assessments and monitoring plans
Proven track record of report writing on the results of compliance monitoring and testing.
For further information please contact Natalie Eshelby