Our client is looking for an experienced Compliance professional to join the Compliance and Risk team, as a Compliance Analyst. Reporting to the Compliance Manager, you will help our Compliance team keep our firm and clients on the right path, ensuring we achieve excellent customer outcomes while protecting our firm against regulatory and conduct risks.
- Scope and conduct assigned Compliance reviews on time, observe the Compliance Monitoring Programme, and provide assurance on regulatory risk
- Verify and provide assurance to important partners (Compliance, Risk and the Business) that FIUK's internal policies and procedures meet regulatory requirements, with any potential gaps/deficiencies escalated, in the first instance, to Compliance management.
- Produce well written structured reports following Compliance methodologies and guidelines, for presentation to business managers and important partners.
- Record and track the completion of agreed management corrective action plans, arising from compliance reviews.
- Prepare reports capturing relevant Management Information for distribution to relevant governance forums.
- Perform 'live' observations of our clients staff, e.g. Private Client Directors, to test and provide assurance on our financial advice process.
- Perform other general compliance and regulatory tasks as directed by compliance management
- 2-5 years of compliance monitoring experience, preferably acquired either within a financial advisory or private wealth management firm
- Experience scoping and conducting compliance thematic and surveillance reviews
- Understanding of the methodologies used in compliance for the review and monitoring of operations, i.e. reviewing polices; processes, and the escalation of identified control deficiencies
- Experience with content of the FCA Handbook; SYSC, COBS DISP, MAR, FIT and TC
- Eager to work in a collaborative environment to support high-volume output
- Work with individuals at all levels within a business environment including management and department heads
- Manage complexity and coordinate across several departments under strict timelines
- A qualification in compliance (ICA, CISI Dip) or Level 4 qualifications in Financial Planning.
- Experience performing suitability file reviews, on pension and investments
- Understanding of the Senior Management and Certification Regime, especially the application of the certification regime; the code of conduct; and how this applies to CORE firms and staff within scope.
- Working knowledge of Institutional fund management, fund structures, segregate mandates and FCA regulatory obligations
· Proficiency with Microsoft tools such as Excel (can perform complex functions), Word, Visio and PowerPoint
- Financial Services
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