The successful candidate will report to the 'Head of Compliance' and will help to structure a high-performing Advisory function, by providing timely and accurate compliance advice and guidance to a full range of business areas, including front office.Responsibilities:
- Provide compliance advice & guidance in relation to regulatory requirements.
- Create and maintain policies and procedures in line with regulatory changes.
- Maintain strong compliance culture across the business, dealing with a range of business areas including; Risk, Legal, Business Change, HR,
- Handle client complaints for the firm, ensuring adherence to the documented Complaints Handling framework.
- Analyse the root causes of complaints and identify recurrent themes.
- Act as point of Liaison with the Financial Ombudsman Service (FOS), on all requested information for complaints. Contribute to production of MI for senior management and board.
- Provide Advice to other areas of complaince cush as Monitoring, Reg Developments, and Fin Crime.
- 5+ years UK Wealth Management, Private Banking, or Investment Management experience.
- Excellent knowledge of FCA Handbook and UK Regulatory requirements.
- Strong working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, Consumer Duty and Conduct Risk.
- Experience with COLL Funds & Platforms ideal.
- Industry qualifications, such as; CISI Investment Compliance desirable.