Assistant Compliance Officer
Assistant Compliance Officer - Graduate - Investment Management
The Role:
* Review and assess the quality of advice given
* Provide file review reports and communicate findings
* Compliance contact for advisers in the business
* Portfolio Monitoring
* Speak concisely, effectively and coherently to all internal clients and external contact
* Policy review and amendment.
* Assist with development off the treating customers fairly programme.
* Staff training and presentation
* Build effective working relationships at all levels of the organisation and gain credibility for self and the Compliance function
* Regulatory project work
The Individual:
* 1-3 years experience in Compliance.
* A proven background in Investment or Wealth Management.
* Good monitoring skills
* Excellent handbook knowledge, notably COBS and COLL.
* Proven experience providing regulatory advice
* Articulate, professional and the want to develop a career in Compliance.
Please apply for a detailed brief and meeting.
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