Compliance Business Standards Assistant
Compliance Business Standards Assistant needed for London based Financial Servives firm.
Role Duties:
* Perform detailed monitoring and testing of fund managers and financial planners retail client records, files and portfolios to ensure that they are compliant with applicable laws, regulations and group policies.
* Review client files to ensure compliance with firm's account opening policies and procedures by following suitability assessment procedures.
* Support monitioring work performed by other oversight functions.
* Act as a key point of contact.
* Review client files and portfolios to ensure adherence to the firm's suitability guidelines, etc.
* Risk assessment of existing processes and the development of enhanced controls where necessary.
* Escalate trends or business risk for investigation and provide support where necessary.
* Perform branch visits and deliver training as required.
Skill Set Required:
* IAD and/ or Financial Planning equivalent (JO or RO exams).
* Proven track record working in paraplanning, regulated financial planning or investment management role.
* Strong analytical skills.
* Good relationship management skills.
* Excellent communicator.
* Sound understanding of retail financial services and in particular detailed understanding of the regulator's requirements related to financial planning and investment management.
* A good knowledge of current investment products.
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