Job Description
12 month FTC **EXCLUSIVE ROLE**
THE COMPANY:
Our client is a prestigious private wealth firm based in the West End. They are looking for a Compliance Manager to join the team on a 12-month FTC basis.
THE RESPONSIBILITIES:
* Assist with ensuring that compliance related directives, policies & procedures remain up to date
* Assist staff with interpretation of rules and assist in development of a positive compliance culture
* Assist in maintaining standards of regulatory risk management
* Approval of new financial promotions
* Ownership of the complaints handling
* Being the lead on investigating breaches
* Oversight of and involvement in testing reviews, involving horizon scanning and gap analysis vs regulatory requirements
* Completion of tests and the drafting of results and review write ups.
* Managing the completion of multiple simultaneous reviews where required
* Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures
* Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
* Investigate and report upon breaches of regulations and assist with remedial action
EXPERIENCE REQUIRED:
* Extensive experience of working in a financial services industry Compliance Department covering private banking/wealth management activities
* Experience of producing compliance risk assessments and monitoring plans
* Proven track record of report writing on the results of compliance monitoring and testing.
For further information please contact Natalie Eshelby