Compliance Monitoring Specialist - National Financial Services Firm
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.
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
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