Compliance Advice Analyst - Wealth/Investment

Merje Limited
United Kingdom
09 Jan 2018
15 Jan 2018
Job role

Our Client

A well established and highly successful Wealth/Investment Manager are seeking to recruit a Compliance Advice specialist to support on a number of key regulatory initiatives across the business.

The Role

You will be responsible for:

  • Identifying, escalating and mitigating risks
  • Keeping abreast of current and upcoming regulatory developments and assisting in advising the business on their impact and incorporating them into processes and procedures
  • Acting as a subject matter expert within the team on queries relating to Operations and the associated regulations
  • Responding to requests for advice from the front office, operations and other business areas and provide the appropriate level of support to either resolve or escalate the matter being referred
  • Reviewing and approving financial promotions
  • Reviewing and approving requests for personal account dealing
  • Carrying out identity verification checks on clients of different types for AML purposes
  • Preparing compliance reports and MI for other members of the Compliance Team and senior management
  • Assisting in the reviewing and production of policies and procedures, both within the team and the wider business

Key Requirements

To succeed in this role you will have knowledge of:

  • Experience of delivering Compliance advice within a discretionary Investment Management or Wealth/Financial Planning environment or similar
  • Familiarity with the key FCA Sourcebooks (COBS, CASS, SUP, etc.)
  • Technical knowledge of Investment Operations including CASS, Transaction Reporting, Dealing and Settlements
  • Knowledge of the JMLSG Guidance Notes
  • Knowledge of Financial Promotions
  • Would consider someone from an Investment Operations background who is looking to develop a career in Compliance
  • Excellent written and oral communication skills
  • Attention to detail
  • Self-starter, high levels of initiative and a strong work ethic

To discuss the role in greater detail please contact Edward Manson on ************* or email your CV to *****************

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