Compliance Monitoring Officer – Financial Advisory Group
| Job Type | Permanent full-time |
| Location | London |
| Area | Greater London, England |
| Sector | Wealth ManagementFinancial Advisory |
| Salary | £40000 - £50000 |
| Start Date | |
| Advertiser | Richard Garbett |
| Telephone | 01635261850 |
| Job Ref | 624515 |
| Job Views | 157 |
- Description
- Compliance Monitoring Officer – Financial Advisory Group
London £40,000 - £50,000
A niche London Wealth Management Consultancy who are part of a larger Investment Management Group are looking to recruit a Compliance professional to join their growing team. Supporting the Head of Compliance this wide-ranging role will give scope for advancement at an exciting time as the company continue to grow and develop their Wealth Management and Investment Management Services.
The company have an excellent name in the market and pride themselves on the investment they make in employee development, team stability and ensuring they have a happy, positive working environment.
This role will require someone who can develop positive relationships with all areas of the business and ensure the business has a constructive approach to compliance.
Specifics of the role will include -
- Help review and develop the overall compliance function for the business as they continue to grow and develop. Review all compliance areas and help implement recommendations.
- Conduct pre and post-sale case file reviews, provide feedback to advisers and make recommendations and support as required.
- Assist with the compliance induction for new staff
- Provide Compliance advice to all areas of the business across advisory & support staff.
- Assist Compliance Administrators with their development and knowledge of compliance.
- Support the Compliance induction of all new members of staff.
- Answer technical queries from advisers, conduct research and analysis as maybe required.
- Strategically develop, monitor, and implement effective compliance controls and systems across the business.
- Check and maintain records for all financial promotions
- Manage any complaints or related investigations keeping the Head of Compliance updated.
- Ensure robust controls are in place for money laundering risks and financial crime opportunities.
- Produce regulatory returns and assist the regulatory with any reviews.
The company will provide career development and advancement opportunities to someone who enjoys analysing, strategically reviewing, and improving compliance procedures. This role will provide you with the opportunity to have input and develop ideas in a supportive environment where everyone in the company is encouraged to develop their knowledge and skills.
For more information, please contact Richard Garbett.