Compliance Officer - Private Client Investment Manager

Nelson Scott
United Kingdom
12 Jan 2018
14 Feb 2018
Contract Type
Full Time

We are a discretionary investment management company, providing investment management services and financial planning solutions to private clients.

We are a successful, privately owned, LLP, with 3 offices in the UK, a channel islands regulated subsidiary and one on-shore and two off-shore fund entities.

We have a fast moving, fast growing, dynamic and challenging culture but also one where everyone feels part of the team and where they can have fun.

The Role
We are recruiting a Compliance Officer to be based near Southampton. They will help the business remain compliant with relevant legislation by operating in a risk controlled manner

The role will report to the Chief Operating Officer and the key areas of responsibility are as follows:

· Produce pragmatic internal policies to ensure regulatory compliance
· Ensure that all regulatory returns are completed accurately and in a timely manner
· Work closely with regulatory development external consultants to ensure that the implications of new regulation are understood and implemented by the business
· Support in maintaining risk assessments and ongoing maintenance
· Ensure that any proposed changes to the business are compliant with regulations
· Ensuring the validity of all required licences and registrations

The Person
The successful candidate will be a bright self-starter who is good with people. They will:

· Have c. 10 years Risk and Compliance experience from the Investment and Wealth Management sectors
· Have experience of regulatory change
· Excellent planning and organizing skills

Market competitive dependent on the individual’s experience.