Compliance Advisor recruitment
A leading investment specialist firm, who offer investment solutions, and funding options for a wide range of exceptional companies, is looking for a Compliance Advisor to join the Compliance Department. This successful, dynamic and driven firm is nationally recognised and this exciting opportunity, providing advice to the business, presents the perfect opportunity to further your career within a true industry leader.
Your responsibilities will be:
• Advising compliance issues relating to the launch of new products.
• Advising clearly, reliably and consistently on any compliance issues arising within the business.
• Ensuring the relevant business functions are aware of new/amended regulations published by the FSA/other appropriate regulators or governing bodies.
• Assisting in the maintenance of the compliance procedures manual.
• Providing input into Anti-Money Laundering (AML) procedures.
• Maintaining records across multiple areas, including Personal Account dealing, gifts and benefits, conflicts of interest, Approved Persons, TC and client money amongst others.
• Reviewing all marketing material.
• Reviewing FSA publications and preparing reports to senior management on rule and policy changes.
• Assisting with training to staff.
• Investigating suspicious transactions where appropriate.
• Assisting the Head of Compliance with managing FSA relations, and organising and managing any review visits.
Your ability to implement new strategies, accompanied with your proactive attitude towards work will place you optimally within the team to develop and add to your existing skill set. Your solid experience within the retail fund management industry and thorough understanding of relevant FSA regulations will be utilised on a daily basis. This opportunity would be suited towards someone who is able to work independently and take responsibility for their own work. You will reap the benefits of a generous work life balance, senior management interaction and the stability of joining a firm with an unshaken performance through an uncertain economic climate.