Description
Compliance Officer, Contract, £450 - £550, London, 6 months
Our Client is recruiting for a Compliance Lead to assist management to develop a stable and sustainable non-advised platform which aims to help clients to become better self-directed investors in the regulatory environment. The role holder will advise senior management on the appropriate handling of regulatory risks associated with this programme of material change, including on the client migration activity involved. This is expected to cover platform migrations in addition to share class migrations.
The Core accountabilities include, but are not limited to:
- Experience of advising Senior Management and Project teams about matters of proposition and operating model design.
- Essential experience for the role includes a strong knowledge of retail investment platforms and of the commercial impacts of the RDR, together with a strong knowledge of Client Assets and other operational regulations affecting a retail investment platform.
- Prior experience of covering the regulatory issues involved in operational outsourcing projects, together with a good working knowledge of the regulatory perimeter of investment advice would also be beneficial.
All applicants should have Asset/Investment/Wealth Management experience, along with the following:
- Extensive prior compliance experience, demonstrating capability in the following fields.
- Assisting management to identify and handle the conduct risk associated with material change programmes in a way that enhances value to the end client.
- Experience of interacting with regulators and ensuring that their enquiries are handled appropriately.
- Strong knowledge and experience of regulatory matters affecting retail investment platforms.
- Product knowledge that covers all retail investment products in addition to equities and Fixed Income
- General experience of providing regulatory support to business change programmes, inclusive of management reporting and handling of issue escalation
- Experience of client assets regulation, operational outsourcing and client migration programmes.
- An understanding of the regulatory perimeter of investment advice
Please forward your CV