Investment Compliance Assistant

Drew Chapman Search and Selection
08 Apr 2017
08 May 2017
Contract Type
Full Time

An exciting new position has arisen within a fantastic team, at one of the leading investment firms in London. This is a rare opportunity to join the organisation at this level due to the very low staff turnover.

The position will begin with a 3 month induction working within the Suitability Unit in order to understand the systems and suitability controls and achieve the mindset of what suitability looks like to the firm. It will then move to assist 2 Investment Managers in ensuring their files are up to the right standard.

The role will require confidence and a very proactive nature, you will be required to

  • review client files/application forms/suitability reviews to identify gaps and discrepancies
  • resolve discrepancies (where possible) or to guide investment managers on what they need to do to achieve compliance
  • contact clients and go through suitability assessments over the phone
  • keep abreast of system enhancements and compliance controls to ensure procedures are properly reflected across the client base
  • liaise with and assist the Suitability Unit and Compliance in providing any required files or documentation in support of monitoring

In order to be considered for this role, suitable applicants are required to possess previous experience in file reviewing/suitability/compliance monitoring, with a general understanding of FCA regulations, particularly surrounding suitability. Organisational skills are important, as is a confident 'can-do' attitude, enthusiasm and ability to communicate well.

Apply today for further information!