Compliance Officer

4 weeks ago

Guildford, United Kingdom ARIA Capital Management Full time

Your main responsibilities as the Compliance Officer will be oversight for the compliance function from both a platform and retail client perspective and you will provide advice on regulatory matters, including matters such as 'simplified advice' models which sit with technologically driven advice models. Moreover, you will be responsible for supporting the development of the compliance functions of the Investment Management platform. You will actively participate as a member of the firm's management team.

The role will also include oversight of the branch of the UK firm situated in Dubai, UAE. The suitable candidate will have experience in managing team members and the ability to understand local rules and regulations for additional jurisdictions from the UK.

This is a fantastic opportunity for a dynamic, progressive and experienced compliance professional to be heavily involved with the continued growth of the UK wealth management business.

Day to day responsibilities include:

  • Oversight and monitoring of the IFA’s onboarded by the firm and any responsible parties to ensure continued compliance
  • Oversight and monitoring of the clients onboarded by the firm and any responsible parties to ensure continued compliance
  • Required to contribute to the identification and research of trends which will lead to training needs or the amendment of products, provide feedback to the remote Management teams and the IFA's on required changes to cases
  • Developing, updating, implementing and administering all aspects of the Company’s Compliance Monitoring Program with reference to FCA & MiFID requirements
  • Providing guidance and training to back-office and front-office staff on AML, risk awareness and other regulatory matters
  • Update compliance policies and firm’s Compliance Manual
  • Attend periodic management meetings to present MI on a range of issues including, AML, CASS (when applicable), TCF, complaints, and staff training and competency issues
  • Prepare Reg Data returns, notifications and review FCA reports prior to submission
  • On-going CPD (Continuous Professional Development) to ensure that adequate knowledge of the relevant jurisdictions regulatory environment is maintained 
  • Oversight and support to other jurisdictions where part of the ARIA Group provides a compliance function.
  • Providing advice and recommendations to the Management team on new business cases and potential revenue lines.

 

Advice and sales practices

  • Regularly review the relevant individuals’ client files as required by the firm’s relevant procedures
  • Ensure that advisors attain and maintain competency, identify conduct risks and deliver training where appropriate.
  • Ensure any approved persons are approved by the FCA before undertaking the role and that all retail investment advisers (RIAs) have obtained a relevant statement of professional standing (SPS) before providing advice to clients and on an ongoing basis
  • Ensure that all approved persons are subject to the necessary levels of supervision outlined in the firm’s relevant procedures
  • Ensure all advisers, investment managers and new business administrators are aware of any relevant guidance in the areas in which they work and have received appropriate training on any new markets or products in which the firm is involved
  • Ensure that adequate records are being maintained as the firm’s supervisor.
  • Ensure the firm advice provided by the firm representatives is in line with the regulatory guidance
  • Ensure that all approved persons are subject to the necessary levels of supervision outlined in the firm’s relevant procedures
  • Ensure that any non-advising approved person is competent for the role they undertake, by formally reviewing this on an annual basis in line with the T&C requirements
  • Ensure that any advising principal has maintained a relevant and adequate record of CPD and KPIs by formally reviewing this on at least an annual basis

 

Experience

  • Minimum 2 years’ UK experience in a compliance role ideally in wealth management or financial planning
  • Degree and/or Professional Compliance/Regulatory Qualification e.g. Diploma in Compliance and/or Diploma in Financial Planning or be working towards this.
  • Technical Knowledge/Aptitude
  • Well-versed in how businesses operate with good financial acumen.
  • Ability to think and act in an innovative way to work with the business to create, refine and implement solutions to complex problems in a way which suits the organisational practices, is client centric but still meets regulatory expectations.
  • Strong knowledge and understanding of the retail client market. 
  • Strong knowledge and understanding of the Investment Platform market and the compliance functions and requirements captured within a Platform.

Personal Qualities

  • Sound judgment and strong critical thinking and analytical skills with the ability to grasp difficult concepts quickly and translate these into actionable recommendations and solutions.
  • Excellent attention to detail.
  • Strong communication and presentation abilities including, written and verbal skills and the ability to explain issues and decisions as well as strategy both to internal and external stakeholders.
  • A collaborative and flexible interpersonal style with the ability to communicate effectively between various allowing for the input of others, and a strong emphasis on creative problem solving.
  • Management and leadership skills.

The Package

  • Competitive salary depending on experience
  • Benefits package post probation including annual discretionary bonus

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