To assist the firm's clients to develop, expand and grow in a compliant manner and with an appropriate culture.
Our client is an Investment Manager and is currently a team of 5. They run a regulatory umbrella and help fund managers, wealth managers and platforms develop their businesses.
- Monitor regulation and compliance of the firm's clients - both appointed representatives and trading names.
- Build solutions for a variety of client types.
- Contribute to robust and effective compliance controls within both the firm and the firm's clients.
- Review client marketing materials, presentations and websites to ensure compliance with regulatory requirements.
- Perform risk assessments to understand the level, significance and scope of risk within the firm's clients.
- Ensure day to day operations of the firm's clients meet the required standards.
- Educate employees in client companies on the correct way to operate as well as raise any areas of concern.
- Undertake periodic client reviews.
- Keep abreast of developments in the regulation and compliance space.
- Experience in compliance within Financial Services
- Good understanding of key FCA regulations: MiFID II, AML, MAR, etc.
- The desire to want to work in a small company and face off to different clients.
An amazing opportunity to get a wealth of exposure to Compliance and regulations.
This job was originally posted as www.totaljobs.com/job/80956052