PRIVATE BANK AND WEALTH & INVESTMENT MANAGEMENT
This role sits with a large and well renowned financial services group specialising in private banking and wealth and investment management. This company attract world class talent and have a strong and collaborative culture where personal development and success is celebrated.
This is a vital role responsible for delivering the control framework for an expanding and progressive business. You will assist the Manager on a daily basis and deputise as appropriate. This role is broad with wide ranging responsibilities including compliance testing, reporting and assurance.
Specifically your responsibilities will include:
- Transaction reporting
- Review, investigate and clear system driven transaction monitoring alerts
- Review, investigate and clear market abuse and best execution alerts
- Gifts & Entertainment reviews
- Assist the Compliance Manager in all aspects of delivering the monitoring programme
- Carry out desk based and thematic reviews of the Private Wealth
- Carry out monitoring tasks independently or in collaboration with other monitoring team members
- Business-facing reviews of key business activities and adherence to controls
- Composition of reports of completed reviews and monitoring activities
- Track 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 (internal audit) gained within an compliance function is essential
- Generalist compliance / regulatory experience, preferably within a central compliance function
- General understanding of regulatory rules and best practice 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 function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.