Compliance Oversight - Investment Manager

Posted 5 April by MERJE Ltd Easy Apply

Our Client

Our client is a highly regarded Investment Manager with a number of offices across the UK and due to continued growth, they are looking to appoint a new Regulatory Investigation specialist to support their current Compliance team.

The Role

Carrying out investigative and surveillance work across the Group, you will:

  • Seek out and remediate areas of current and potential business risk through thorough analysis of practices and procedures etc,
  • Conduct interviews with Senior personnel in relation to findings
  • Drive change in a positive and compliant manner
  • Provide support to Compliance colleagues at all levels
  • Support a strong Compliance culture within the Group

Key Requirements

  • Broad and deep knowledge of regulation within a Wealth or Investment Management environment
  • Experience conducting file reviews
  • Strong understanding of the FCA’s Suitability regime;
  • Excellent verbal and written communication skills
  • Proven influencing skills and experience of meetings with Management
  • Strong academic background (preferred but not essential)

Required skills

  • Compliance
  • Derivatives
  • Investment
  • Risk

Reference: 34534329

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