This role sits with a large and well renowned Wealth and Investment group specialising in private wealth and investment management. This company has a growing compliance team, has strong endorsement from senior management to strengthen compliance controls and attracts talented individuals to join their collaborative compliance team.
This is a key role responsible for delivering the control framework for an expanding and progressive business. This role is broad with wide ranging responsibilities including compliance monitoring, testing and assurance.
Responsibilities could include:
- Assist the Compliance Manager in all aspects of delivering the compliance monitoring programme
- Carry out desk based and thematic reviews of the Private Wealth business
- Carry out monitoring tasks independently or in collaboration with other team members
- Conduct business-facing reviews of key business activities and adherence to controls
- Creating reports of completed reviews and monitoring activities
- Tracking and follow up of recommendations and actions
To be considered for this job, you will have the following experience:
- Working knowledge of the UK / EMEA regulatory environment and how FCA, PRA and regulatory requirements apply to wealth management / investment management / private banking
- Compliance monitoring and testing or other related experience such as internal audit gained within an compliance function is essential
- Previous regulatory experience within wealth management / investment management / private banking is essential
- General understanding of regulatory rules is desirable
- Strong problem solving and analytical skills
- Excellent organisation skills
- Ability to prioritise and work on own initiative
- Excellent oral and written communication skills
- Ability to foster strong working relationships within the team and with the businesses
If you feel you, or anyone you know, have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Marmoy-Haynes at Twenty Recruitment.
Twenty Recruitment's Compliance & Governance function are a team of specialist consultants covering Financial Crime Compliance, Regulatory Compliance & Operational Risk mandates, both permanent and temporary, across Financial Services, Technology and Energy.