Wealth Advisory- Compliance

Working for Wealth division of a larger Investment Bank, my client is looking for an advisory specialist on a contract basis.
The successful candidate will report locally to the Head of Wealth Management Compliance UK based in London.

The successful candidate will be required to undertake the following:

A complete review, reconciliation and update of asset management compliance policies from a regional, group and industry best practice perspective.

A complete review, reconciliation and update of compliance training to ensure it is aligned with the current and expanding business model of the firm.

Assist the compliance monitoring team in developing appropriate desk based and trade surveillance processes around key regulatory risks to the firm.

Assist the compliance monitoring team in ensuring that issues identified are addressed and any necessary controls are implemented to reduce risk of recurrence.

Assist in the development of a conduct risk map specific to asset management.

Identify/develop key regulatory metrics and assist in collating and preparing Compliance management information specific to asset management.

Identifying and developing regulatory processes and controls in conjunction with key stakeholders in support of the firm's segregated mandates.

Assisting with the review and development of the firm's marketing and financial promotion materials, including liaising with Sales and Marketing teams to communicate regulatory standards.

Reviewing and delivering face-to-face training on country conduct of business requirements for the EMEA regions. Escalating jurisdictional questions to Group Law as appropriate.

Providing advice and assistance in respect of regulatory reporting matters including matters raised by the control room/monitoring team in respect of Takeover Panel requirements.

Assisting Compliance Central Services team with collating/verifying information related to periodic filings for the firm.

Reviewing conflicts of interest arrangements including annual reviews of the conflicts heatmap. Assist in the preparation of conflicts of interest management information specific to the firm.

Provide timely and technically accurate regulatory advice to client facing professionals and portfolio managers of the firm.

Provide support to colleagues in undertaking work required to address specific issues identified through compliance monitoring, internal audit and external regulatory reviews

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April 18, 2013 • Tags:  • Posted in: Financial

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