Description
Compliance Specialist urgently required for a leading city based Investment Management firm. The Compliance Specialist must have a strong Private Banking or Private Wealth Management background.
Overview of Key Duties:
- Review of marketing materials from a compliance perspective
- Review and approval of staff dealing requests and any other transactions requiring Compliance pre-approval
- Undertake specified regular monitoring reviews (eg for AML purposes, investment restrictions) and occasional special reviews, including the identification and reporting of potential regulatory issues
- Assist in the collation of Management Information for TCF reports
- Assist in the provision of advice on day-to-day compliance questions, specified projects and development of internal policies and procedures
- Maintain compliance team records, including staff training, complaints, breaches and financial promotions
To assist the review and process updates/amendments to internal policies and procedures
To assist in responding to requests and review findings from Group Compliance and external or internal auditors on regulatory compliance matters
To assist in the preparation of regulatory reporting and approved person applications to the FCA/PRA and other reports to Group Compliance
To liaise as necessary with members of the Compliance teams in the Service Centre Private Banking, other entities in the Private Banking Division and Group Compliance.