Our client is an established wealth management and investment business and they are looking to expand their team. The Compliance Monitoring Specialist, Investment Compliance will be responsible for undertaking compliance monitoring reviews with a particular focus on suitability of recommendations and investment decisions. The role will be required to support the Compliance team and build relationships within the business. The recommendations, based upon the findings will be effectively communicated and implemented with information regularly updated to the management team.
- Assist in preparing the compliance monitoring plan
- Work to the compliance monitoring plan, undertaking reviews with particular focus on suitability reviews, identifying risks, remedial actions and recommendations and follow up actions
- Assist the team head to manage regulatory risk, including risk identification, assessment, mitigation, control and monitoring.
- Production of accurate and timely reports in respect of compliance assurance activity.
- Production of accurate and timely monthly reports regarding activity and issues to the Head of Investment Compliance
- Provision of feedback to senior management, investment managers and associates
- Support the Compliance monitoring team and your colleagues, including the wider Risk & Compliance team
- Occasional Attendance and delivery of presentations at investment management and operations team meetings
SKILLS & QUALIFICATIONS REQUIRED:
Degree holder preferable; CFA/IMC, Compliance Diploma
Compliance monitoring skills and experience with particular focus on suitability reviews
Excellent knowledge of FCA Rules and regulations, in particular ; COBS; Up to date CPD
Experience in a compliance role within an asset/wealth manager environment
Excellent communication skills; The ability to influence at all levels; good judgement and decision making skills; coaching and training skills; the ability to work with a good degree of autonomy individually, and as part of a team.
Excellent analytical and numerical skills, detailed and results orientated
The ability to work within time restraints and to project deadlines
Competent using Microsoft packages such as Word, Excel and Outlook