12 Oct
Compliance Professionals
London
THE COMPANY:
Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.
THE RESPONSIBILITIES:
- Assist with ensuring that compliance related directives, policies & procedures remain up to date
- Assist staff with interpretation of rules and assist in development of a positive compliance culture
- Assist in maintaining standards of regulatory risk management
- Approval of new financial promotions
- Ownership of the complaints handling
- Being the lead on investigating breaches
- Oversight of and involvement in testing reviews, involving horizon scanning and gap analysis vs regulatory requirements
- Completion of tests and the drafting of results and review write ups.
- Managing the completion of multiple simultaneous reviews where required
- Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures
- Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
- Investigate and report upon breaches of regulations and assist with remedial action
EXPERIENCE REQUIRED:
- Extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities
- Experience of producing compliance risk assessments and monitoring plans
- Proven track record of report writing on the results of compliance monitoring and testing.
For further information please contact Natalie Eshelby
▶️ Compliance Manager- 12 month FTC - EXCLUSIVE
🖊️ Compliance Professionals
📍 London