Our client, a leading Outsourced Investment Office is looking to make an addition to their Compliance team. The role offers the opportunity to join a high profile firm, within a growing team who are responsible for a very broad range of compliance matters across all areas of the firm and contribute to the efficient running of the compliance function in the UK.

EXPERIENCE & QUALIFICATIONS

• The ideal candidate will have 2-3 years’ experience of operating in a broad compliance role within the Wealth Management or Asset Management space and has a good understanding of the regulatory environment.
• Candidates will also have a good working knowledge of financial services regulation, in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role.
• Ability to work with a degree of independence and escalating issues when and if necessary.
• Ability to interact with multiple levels in an organisation in an international environment.
• Ability to prioritise, multi-task, and manage expectations and time in a fast-paced environment with shifting demands.
• Good organisational, research and project management skills.
• Strong financial and business awareness.
• Legal background would be advantageous.
• This is a chance to work in a high profile firm and ensure the compliance function is both robust and fit to support the business.
  To hear more about this exciting opportunity, please email your CV to karen@meredithbrown.com
  Ref: KC 1156004
  Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

• Provide advice and guidance to the business on regulatory and compliance issues as required (such as for instance MiFID II, AIFMD, Suitability, Financial Promotions, TCF, Market Abuse, Product Governance. SFDR, SMCR etc).
• Provide review and sign-off of marketing materials and provide advisory support on compliance matters relating to the firm’s distribution activities in Europe.
• Assist with the conduct of risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP).
• Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner.
• Draft and update internal policies and procedures in line with regulatory developments.
• Support the firm’s compliance with Anti-Money Laundering (AML) requirements.
• Supervision of some US Compliance activities where appropriate, such as monitoring of personal trading (no need to be a US regulatory expert), as well as supporting and liaising with overseas offices.
• Be responsible for ensuring all information security processes, policies and procedures are adhered to and any issues or concerns are raised with the Cyber Security team.
• Ensure full compliance with all local data protection regulations and privacy controls, and any related issues are raised via the appropriate channels.