Investment Sales Compliance Manager recruitment
Job Description:
- Reviewing and analysing monthly sales data, ensuring in line with group internal policies, standards (Retail Distribution of Investment Products and Services Policy, Offshore Wealth Services Policy), regulatory requirements and IPB Suitability Guidelines, providing monthly feedback on results to Leadership Team
- Developing and improving training, including on-boarding for new starters and training experience, for all members of the sales teams
- Ensuring training materials are approved by compliance
- Ensuring the Sales process and associated call note templates continue to accurately reflect the needs of the business and are approved by Legal Compliance
Person Specification
Knowledge/Experience:
- Excellent knowledge on UK regulations in investment compliance
- Good understanding of investment sales in a regulated market
- Familiarity with investment products and relevant applications (Bloomberg)
- Previous experience in or working with Compliance/Audit function preferred
Skills:
- Very good team player with positive attitude
- Very good organisational and communication skills
- Preferably fluent in any of the following languages (Russian/ Turkish/ Spanish/ Hebrew /Greek/ Arabic)
- Ability to work well under pressure
Qualifications:
External certifications recognised by the FSP (e.g. IMC, IAD) (preferred)
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Candidates who do not meet the certification requirement and other required qualifications must demonstrate willingness to complete required assessments successfully within a specified time period.
Competencies:
Well developed observation and assessment skills
Coaching and training delivery skills
Attention to detail
For more Details, please visit our Website – www.hamlynwilliams.com and for further information send any queries to info@hamlynwilliams.com
Hamlyn Williams is an Executive Recruitment consultancy that specialises in placing Risk, Compliance, Regulatory Information Security professionals globally:- offering Retained, Contingency and Interim/Contract recruitment solutions for the Financial Professional Services.