Compliance Officer
Compliance Officer - IFA/Pensions
Compliance Officer
A leading Investment Manager is seeking a Compliance Officer to join its Monitoring team in its tax and accountancy business based in the city. The successful candidate will be responsible for carrying out independent compliance monitoring various business areas to ensure the continuous identification and review of potential regulatory risks. Reporting to the Compliance Monitoring Manager and working with the wider Compliance Team you will assist with the preparation and execution of monitoring plan and provide advice on findings across the business
The role of the Compliance Officer reports into the Compliance Manager and Director of Compliance and will also provide advice on AML related issues/findings, regulatory developments and how these will be implemented and the effects on the business, the reviewing of financial promotions in accordance with regulatory requirements and provide ad hoc advice on compliance issues.
Summary of responsibilities
• Monitoring – File reviews, (Corporate Finance/Pensions etc)
• Compile incident reports and statistics to the business
• AML monitoring and advice
• Financial Promotions – Review and Approval of marketing materials
• Advisory- provide advice and guidance to the business units
The Investment management firm offers a working environment built around a strong compliance culture and strong leadership amongst management. One of the core values is the continued investment in the development and training of their staff and support through professional qualifications. Another key feature is the availability of internal mobility when it comes time for you to find a new challenge.
Skills/Qualifications
• Preferably degree educated
• Industrial Qualification of willingness to study
• Experience in compliance monitoring (pensions, life assurance and retail investments). AML, Reviewing marketing materials.
To find out more about this role of other opportunities in Compliance please contact Abigail Vann at Hays Financial Markets on 0203 465 0110.
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