Compliance Officer
Compliance Officer – 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
· 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:
· 3-5 years experience in Compliance.
· A proven background in Investment or Wealth Management.
· Good monitoring skills around best execution and market abuse.
· Excellent handbook knowledge, notably COBS and COLL.
· Proven experience providing regulatory advice
· Articulate, professional and the want to develop.
Please apply for a detailed brief and meeting.
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