Investment Management Compliance Advisor

£70,000 - £75,000

The Company

A leading multi-family office, headquartered in London, operating in multiple jurisdictions. The organisation provides both discretionary and advisory services to UHNW Individuals and Charities. Operating on an open architecture platform this firm is independently owned.

A meritocracy this firm has a collegiate and open atmosphere operating under a flat management structure.

The Role

  • To provide expert advice using technical knowledge of FCA regulations
  • Provide timely and relevant management information for senior management
  • To provide specialist regulatory and compliance advice to the investment management business on how to maintain compliance with regulatory requirements and internal guidelines
  • Strengthen the first line of defence by identifying and helping to mitigate risks from within the Business
  • Help drive the closure of open Internal Audit and Compliance items
  • Provide clear, concise and timely compliance advice to the business
  • Maintain and train employees to develop awareness and understanding of UK regulations
  • Take a leading role to assist colleagues to close down open compliance matters
  • Compiling and reporting management information to senior management for example stats on overdue items, progress on ongoing reviews, incidents occurring during the period
  • Conduct Financial Promotions reviews and approvals (including maintaining records)
  • Conduct client on‐boarding reviews
  • Track and report on controls such as high risk client reviews, transaction monitoring, investment objective confirmations, CPD, NMPIs (including maintaining records)
  • Providing reporting and management information
  • Identify, rectify and escalate issues on the front line
  • Responsible for execution of IM Compliance Monitoring to ensure that controls are robust and procedures are being followed
  • Act as member of Investment Management Risk & Controls Committee and Conduct & Treating Customers Fairly Committees

What they are looking for

  • A technically strong individual who is commercially focused
  • Degree educated
  • At least 10 years compliance experience, ideally within the wealth management sector including client on‐boarding knowledge
  • Ability to multi task
  • Ability to translate Compliance matters both verbally and in written form to non‐compliance specialists to enable the firm to abide by the requirements
  • Proactive, flexible and able to work under own initiative
  • Strong verbal and written skills with good attention to detail
  • Strong knowledge and understanding of FCA rules and regulations and EU Directives
  • Ability and commitment to deliver to tight deadlines