Compliance Monitoring / Quality Assurance - Wealth Management - London
A leading Wealth Management Firm are looking for a Compliance Monitoring and Quality Assurance Analyst to help identify key compliance controls, conduct desk based monitoring, quality assurance and reviewing client files to ensure they meet FCA standards.
The role will focus around reviewing client files to ensure that they meet FCA standards and internal guidelines. You will be advising investment managers on raising the standards of record keeping relating to the management of the client portfolio and the suitability.
Key Responsibilities include:
- Conduct quality assurance file reviews which will include recommending actions to address client file shortcomings.
- Provide advice and guidance around COBS, CASS and SYSC among other FCA rules.
- Help create critical metrics and reporting which will improve the management of information for client files.
- Conduct training sessions on how to improve processes and controls.
- The ideal candidate will have a minimum of 2 years previous experience within compliance monitoring / assurance at a Wealth Management / Private Banking Firm.
- Good excel skills are a benefit.
- You will have previous experience conducting file reviews, investment and suitability reviews.
- This candidate must be efficient with their time and have strong attention to detail.
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Emily Drake 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.