Investment Compliance Officer recruitment
Main Duties and Responsibilities:
To advise on investment compliance and regulatory issues and handle day to day queries across Principal. In particular, liaise closely with the Investment team to:
? advise on investment regulatory issues;
? contribute to the development and enhancement of investment processes, procedures and documentation impacted by regulatory considerations; and
? undertake investment portfolio monitoring and other investment-related monitoring/compliance policy work.
Assist the Marketing Compliance Specialist or, in their absence, review and approve marketing communications and financial promotions with technical investment content.
To approve investment-related changes to standard customer agreements.
To review and follow up specific investment compliance monitoring exercises.
To undertake personally higher level monitoring in key risk areas, liaising with senior management as necessary.
To supervise the investigation of complex rule breaches and errors and review remedial action suggested by the Compliance Co-ordinator; to oversee the calculation and payment of any compensation.
Job specific competencies relating to the role of Investment Compliance Consultant
Thoroughly conversant with the FSA Rules and associated guidance, the approach of the Financial Ombudsman Service and EU Directives affecting the financial services industry, specifically as these relate to investment compliance
Keeps abreast of the FSA’s current thinking and its requirements and expectations regarding investment compliance in an investment management business, particularly in respect of the FSA’s Treating Customers Fairly principles and principles-based regulation Regarded as an investment compliance ‘expert’ for the client
Constantly seeks better ways of doing things to improve service delivery and to increase the efficiency and productivity
Takes time to understand enquirers’ issues and seeks to reflect these in finding an appropriate solution to meet their expectations whilst upholding compliance standards
Proactively seeks to establish, build and develop relationships with ‘user’ departments across the company, including assisting them to understand the FSA’s requirements in terms of customer fairness