Authorised and regulated by the UK’s FCA to provide investment accounts, we are bound by CASS rules to segregate and protect client assets.
Purpose of job
This is a fantastic opportunity for a dynamic and talented compliance professional to come on board and hit the ground running. Reporting to the head of compliance, the successful candidate will work within the Compliance team by undertaking regular compliance checks for the company and manage various day to day business queries and tasks.
- Undertake regular analyses of all departments in order to assess their current practices and create new policies and procedures to ensure that each department is compliant with regulatory requirements
- Liaise with each department head on a regular basis in order to provide them with specific advice with respect to their regulatory obligations
- Monitor all departments on a regular basis in relation to compliance issues
- Draft/amend policies and procedures for approval by the head of compliance
- Provide all staff with training in relation to business policies and procedures
- Upload content to, edit and administer the company intranet and/or other systems in order to update policies and procedures as well as provide the required technical updates.
Skills & abilities
- Minimum 1+ year experience in a similar role within the financial or wealth management sectors
- Bachelor’s degree in a business, finance or legal field
- CISI/ICA regulatory exams
- Knowledge of Investments FCA handbook AML, KYC and relevant regulations
- Strong IT skills including a working knowledge of Microsoft Excel and Word
- Good written and verbal communication including analytical skills
- Highly organized combined with the ability to prioritise and work to tight deadlines
- Knowledge of financial instruments
- Data management skills
- Experience in a fast-growing financial or wealth management company
Commensurate with role and market
Based on individual and company performance
Our comprehensive benefits package is designed to attract the best. It includes: private health insurance, dental insurance, pension scheme, subsidised gym membership, death in service cover, employee assistance programme and travel insurance
15 June 2019