My client, a city-based financial services group, are looking for a Compliance Officer to join their bustling and expanding business.
Their business includes Stockbroking, Fund and Wealth management (HNWI), Institutional Brokerage, options and other professional investor services.
The responsibilities for this role are varied and it is great opportunity for someone to 'roll their sleeves up' and become an integral part of the Compliance function in this dynamic and vibrant organisation.
The main responsibilities of the role are as follows:
- On-going maintenance of the risk-based Compliance Monitoring programme
- Preparation of the reports associated with any resultant actions arising from the monitoring programme and distribution of the same.
- Extensive stakeholder management exposure - often at senior level
- Monitoring of breaches and errors and ensuring that the business applies the appropriate corrective and-or remedial action.
- Assisting in the review of financial promotions
- Onboarding and due diligence checks
- Maintenance of PA dealing records, the register of gifts and entertainment and any conflicts of interest.
- Assist with the preparation of regulatory reports in a timely fashion.
To be considered for this position the ideal candidate should posses the following attributes:
- Ideally comes from an asset management or brokerage background
- Familiar with FCA rules - especially COBS and SYSC
- Experience within Compliance monitoring
- Experience with reading and interpreting regulatory rules and determining the scale and impact on the client's business
A full job specification is available on request.