Job description: THE COMPANY:Our client is an expanding wealth management firm, offering a broad range of services across financial planning, investment management through to settlement and custody services.THE RESPONSIBILITIES:
Conduct regular compliance monitoring activities to ensure adherence to regulatory requirements and internal policies, including those related to financial advisory, fund management, and client money protections.
Review and assess client account and transaction activity to identify any potential compliance risks or breaches.
Provide support in maintaining compliance with the Financial Conduct Authority (FCA) regulations and General Data Protection Regulation (GDPR).
Assist in the monitoring of fund management processes, ensuring that all regulatory and reporting requirements are met in a timely manner.
Collaborate with various teams to promote a culture of compliance, providing advice and guidance where necessary.
Conduct risk assessments and report findings to senior management, recommending improvements where required.
Assist with the preparation for regulatory audits and inspections.
Stay updated with relevant laws, regulations, and industry trends to ensure ongoing compliance.
Support the development and implementation of internal compliance policies and procedures.
Assist with the training of staff members on compliance-related matters.
Occasionally travel to other UK offices for meetings or compliance-related activities.
EXPERIENCE REQUIRED:
Previous experience in compliance, specifically within financial advisory and fund management sectors.
Experience with custody and clearing functions is highly beneficial.
Familiarity with client money protection regulations and GDPR compliance is preferred.
Strong understanding of financial regulations, particularly those pertaining to the FCA.
For further information please contact Duncan JefferyAbout this roleLocation:LondonSpecialism:Salary:£60/70KType:Reference:19206
Expected salary: £60000 – 70000 per year
Location: London
Job date: Thu, 10 Apr 2025 07:42:29 GMT
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