Financial Services Compliance Executive

3 weeks ago

Bath Somerset, United Kingdom CMD Recruitment Full time

We seek a Compliance Executive to join the team at a small but successful investment firm. Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK.
Support ongoing assessment and monitoring of business, operations, and investment risks, and assist in the development of policies and procedures.
Conduct regular compliance monitoring and oversight, promptly reporting any identified compliance issues.
Assist in reviewing and approving marketing materials in alignment with FCA Financial Promotion rules in the UK.
Provide valuable regulatory support to projects and change initiatives, maintaining meticulous records of compliance activities.
Collaborate with the SMF16 to implement robust systems and controls to ensure continuous compliance with regulatory requirements.
Develop management reports and prepare vital information for the Board and key governance committees as required.
Investigating and reviewing any firm breaches, and identifying necessary policy changes or training requirements to ensure ongoing compliance.
Take a lead role in fostering an effective compliance culture within the organisation.
Staying updated on industry developments, best practices, and regulatory changes in the UK. Actively seeking opportunities for knowledge enhancement through training and professional development.
If you are a compliance professional who is looking to make a meaningful impact, we would love to hear from you
This opportunity is office based in Bath, Somerset.

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