Compliance Officer (Investment/Wealth Management)

Robert Walters
Manchester, UK
13 Sep 2019
25 Sep 2019
Contract Type
Full Time
A recently launched investment company is currently seeking a Compliance Officer to join its operations based in Manchester. Reporting to the Director, the purpose of the role will be to hold CF10 for the firm, build a compliance function from scratch and subsequently perform both advisory and monitoring duties for the business.

Key duties include:
  • Working closely with the rest of the business to build a product that delivers a great user experience whilst meeting regulatory requirements and delivering good outcomes for customers/markets
  • Ensuring risk management processes for trading are robust and occur in a timely manner
  • Liaising with key internal (e.g. legal, risk, board) and external (e.g. FCA, advisors, vendors, partners etc) stakeholders as required
  • Oversight and monitoring of relevant third parties
  • Creating and reviewing the firms policies
  • Regulatory horizon scanning
  • Carry out the client onboarding process, ensuring that all AML and appropriateness checks are made, and recorded, in line with all regulatory requirements, such to ensure that only appropriate clients are able to open a trading account.
  • Producing internal and external monthly reports and liaising with both internal and external stakeholders as appropriate.
  • Drive a positive attitude to a culture of Compliance diligence within the firm.

The successful candidate will have:
  • Background performing a senior compliance role within the investment or wealth management sector
  • Ideally prior experience as a CF10 but not essential
  • Strong knowledge of the FCA Handbook in relation to the wealth and investment sector
  • Previous exposure reporting or liaising with the FCA
  • Experience of conduct risk management within a consultancy, compliance function or a regulator
  • Strong analytical, communication and interpersonal skills
  • Ability to work autonomously, problem solve and display logical thinking

This is a fantastic opportunity to build a compliance function from scratch with excellent long term career prospects. Please reply with an updated copy of your CV as applications for this role will close shortly.

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