Compliance and Oversight Executive

5 days ago

Bath, United Kingdom CMD Recruitment Full time
About the Role:
As a Compliance and Oversight Executive, you will play a critical role in supporting our compliance function, ensuring that our business adheres to all relevant laws, regulations, professional standards, and best practices.
Key Responsibilities:
Support the assessment and ongoing monitoring of business, operations, and investment risks.
Conduct regular compliance monitoring and oversight, reporting any issues identified.
Assist in the review and approval of literature in line with FCA Financial Promotion rules.
Provide regulatory support for projects and change initiatives, maintaining thorough records of compliance activities.
Prepare information for the Board and key governance committees.
Assist with any investigation and review of firm breaches, identifying policy changes or training needs to ensure compliance.
Assist in responding to due diligence questionnaires and information requests from third parties.
Lead efforts to embed an effective compliance culture within the firm.
Stay current with industry developments, best practices, and regulatory changes, proactively seeking opportunities for professional development.Experience and Skills:
Exceptional organisational and multitasking abilities to manage multiple tasks and meet deadlines.
Effective communication skills to interact with internal teams and external stakeholders.
Ability to work independently and collaboratively in a team-oriented environment.
Professional demeanour, integrity, and a commitment to maintaining confidentiality.Why Join Us?
This is an exciting opportunity to join a dynamic team within a reputable investment firm. We offer a supportive environment that fosters professional growth and development. We encourage you to apply if you are enthusiastic about compliance and looking to make a significant impact

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