Compliance Monitoring Specialist - National Financial Services Firm

SLM Search & Selection
09 Feb 2017
09 Mar 2017
Contract Type
Full Time

SLM Search and Selection are currently working on behalf of a nationally-respected and award-winning wealth management firm that have been providing their clients with expert financial planning advice for over 50 years.

Their London office are seeking a Compliance Monitoring Specialist who will be responsible for undertaking compliance monitoring reviews with a particular focus on suitability of recommendations and investment decisions.

Key Responsibilities:

Assist with the preparation of compliance monitoring plans

Undertake reviews with particular focus on suitability, identifying risks, remedial actions, and recommendations and follow up actions

Assist the team head to manage regulatory risk

Produce accurate and timely reports in respect of compliance assurance activity

Produce monthly reports regarding activity and issues to the Head of Investment Compliance

Occasionally attend and delivery presentations at investment management and operations team meetings

Key Experience:

Holds CFA/IMC or Compliance Diploma

Prior role in compliance within an asset/wealth management firm with a particular focus on compliance monitoring and suitability reviews

Excellent working knowledge of the FCA and industry regulations