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Compliance Executive

4 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY:


Our client is a leading Asset Manager based in London who currently have c£5bn AUM. They are looking to hire a Compliance Executive on a permanent basis.







THE RESPONSIBILITIES:


  • Undertaking detailed thematic Compliance Monitoring reviews, reporting on findings and recommendations and tracking actions to resolution
  • Working with the Compliance Manager to review and provide guidance on marketing and financial promotions, acting as an escalation point for queries across the business
  • Oversight of breaches, errors and complaints, working with the Client Operations team.
  • Oversight of internal incidents, working with other members of the Compliance team
  • Working with the Chair of the Consumer Duty Committee and Consumer Duty outcome owners to ensure outcomes are met and there is appropriate MI and oversight in place.
  • Acting as a Vulnerable Customer Champion, alongside members of Client Operations and Marketing
  • To manage the Compliance FCA (and others such as SEC) regulatory returns
  • Attend outsourced function service review meetings and undertake annual monitoring reviews
  • To manage the Compliance responsibilities for the provision of data/information for timetabled and ad-hoc RFPs and DDQs.
  • Preparation of Committee reports as required
  • Review and update Compliance policies and procedures as required
  • Responsible, along with the rest of the Compliance team, for completing the daily, weekly and monthly regular compliance tasks.









EXPERIENCE REQUIRED:


  • Experience in completing Compliance Monitoring or audit style reviews required
  • Knowledge of Consumer Duty would be beneficial
  • Experience in incident and complaint reporting would be beneficial
  • Knowledge/experience of other responsibilities listed would be beneficial
  • Detailed knowledge of the UK regulatory environment
  • Knowledge of the products offered by the firm and the importance of being a regulated firm as applicable to the role is expected
  • A good understanding of the FCA’s Senior Managers and Certification Regime and how it applies to the role











For further information please contact Duncan Jeffery