Compliance & Legal
|Job Published:||over 1 year ago|
I am currently recruiting an experienced Compliance Officer for a small Wealth Management and Financial Brokerage firm in the West End. Formed back in 2015, it is an exciting time for the company and they have ambitious plans for growth. The founders are looking for an experience Compliance Officer to join them on a part time basis to help with all compliance needs. Ideally you will have solid generalist experience and be able to turn your hand to anything.
There is a competitive salary and benefits package on offer, and they are willing to be very flexible on working days and hours.
Roles & Responsibilities:
- Implementing and conducting a risk-based Compliance Monitoring Programme (e.g. best execution, transaction reporting, advice letter reviews and AML checks).
- Working with various business areas to obtain required input and assistance with Compliance monitoring testing.
- Submitting regulatory returns to the FCA via GABRIEL.
- Submitting FCA applications (e.g. Form As).
- Dealing with gifts and PA dealing requests.
- Identifying and reporting instances of non-compliance and liaising with the business to ensure any required remedial actions are undertaken.
- Communicating with and assisting all areas of the business, where required, on general compliance matters.
- Preparing compliance related management information.
- Assisting in the design, implementation and periodic review of policies and
- Conducting compliance reviews of marketing materials such as quarterly reports, fund fact-sheets, company presentations, press releases, blog posts and tweets.
Key Skills & Experience:
- An in-depth knowledge of working in a FCA regulated investment management firm, regulatory consultancy or brokerage firm as a generalist compliance officer.
- Degree in Law/Finance/Accounting would be an advantage.
- A regulatory or risk background is essential.
- Solid exposure in Compliance Monitoring.
- Familiarity with the FCA handbook (e.g. COBS, SUP, IFPRU), MiFID II and EMIR.
- A confident and engaging personality with an initiative led approach to work.
- Based in London.
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