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Compliance Advisory - Investment Management and Wealth Advisory

Eximius Finance
London, United Kingdom
£50k - £70k
Closing date
Jun 23, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Required skills and knowledge:

• A well-developed understanding of the FCA regulations applicable to Investment Management and Advisory (Financial Planning / Wealth Planning) businesses.

• An understanding of the FCA rules in relation to ESG, Principles for Responsible Investment, TCFD, Stewardship Code and SRD II.

• Experience of portfolio management systems such as Objectway, BITA Risk and ESG monitoring such as Sustainalytics, Ethical Screening and Clarity AI would be advantageous.

• A good understanding of the FCA rules in relation to suitability.

• The ability to interpret rules and regulations and to clearly and succinctly articulate their application in the context of the firm's business.

• Ability to multi-task and deal with a number of concurrent issues.

• Confident in ability to present and represent Compliance as required.

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