Lead Compliance Specialist

3 weeks ago

London, Greater London, United Kingdom Handelsbanken Wealth & Asset Management Full time

Company Overview

Handelsbanken Wealth & Asset Management operates as a fully-owned branch of the Handelsbanken Group, overseeing all wealth and investment management functions within the UK. Established in Sweden, Handelsbanken stands as one of the most robust financial institutions globally, providing personalized banking, advisory, and investment management services to both individual and corporate clients through its expanding network across the UK. For over three decades, we have been a trusted partner for our clients, including industry leaders and discerning financial experts, committed to managing their wealth with a singular focus on customer satisfaction.

This role presents an exciting opportunity to join a thriving national organization while being part of a significant international group.

Handelsbanken Group is dedicated to fostering equality and diversity in all our operations, ensuring that Handelsbanken Wealth & Asset Management is an inclusive and inspiring workplace for everyone, regardless of age, disability, parental status, ethnicity, religion, gender identity, or sexual orientation.

Work Environment

We embrace a Hybrid Working Model at Handelsbanken, encouraging employees to spend the majority of their working hours in the office while allowing flexibility to work from home as needed. This approach helps us leverage the advantages of hybrid working while nurturing our unique organizational culture.

We actively encourage applications from a diverse global community, with all selections made based solely on merit.

Position Overview

We are seeking a Lead Compliance Specialist to join our London team. The ideal candidate will possess experience in the regulatory landscape, preferably with exposure to the wealth management sector. A self-motivated individual, you will be adept at managing deadlines and prioritizing tasks as demands evolve.

Main Responsibilities

  • Contribute to the execution of the annual compliance monitoring program by performing designated monitoring tasks to a high standard and delivering results promptly.
  • Proactively identify control deficiencies and vulnerabilities, analyze root causes, and escalate issues while proposing effective solutions to mitigate identified risks.
  • Collaborate with the Senior Compliance Manager to establish action plans with the business based on monitoring outcomes, ensuring that identified risks are adequately addressed and documented.
  • Participate in the annual Compliance Risk Assessment Process to inform the Compliance Monitoring Program and continuously review compliance risks.
  • Assist in the preparation of relevant reports and management information to keep leadership informed about compliance risks and their status, including support for the Head of Compliance in reporting to various committees and groups.
  • Stay updated on regulatory changes and maintain a comprehensive understanding of current issues and future trends that may impact the company’s risk profile.
  • Facilitate training and education for the business on pertinent compliance matters.
  • Collaborate with the Compliance Team to establish robust internal controls and compliance procedures, contributing to the enhancement of adherence to regulatory standards.
  • Ensure that departmental logs and the Compliance Monitoring Program are current and appropriately rated according to risk.
  • Work autonomously while building strong relationships with the business.
  • Promote a positive compliance culture within HWAM, assisting the business in effectively managing compliance risks.
  • Maintain an independent perspective, providing objective assessments of internal practices while fostering constructive relationships.
  • Develop connections with compliance functions across the broader Handelsbanken Group.

Candidate Profile

  1. Strong ability to convey technical information in an accessible manner.
  2. Proficient in interpreting FCA regulations.
  3. Self-motivated and proactive.
  4. Collaborative team player.
  5. Focused on achieving positive customer outcomes.
  6. Exhibits a high level of accuracy, integrity, and independence.

Qualifications:

Possession of CISI IAQ / IOC, Investment Compliance Diploma, or other compliance-related qualifications from the International Compliance Association (ICA) is advantageous.

Experience:

  • A minimum of two years of compliance monitoring experience, preferably gained within a Wealth Management Firm or Retail Financial Advice Firm.
  • Strong working knowledge of FCA regulations.
  • Experience with Suitability of Advice and/or CASS is beneficial.
  • Ability to understand and communicate complex technical information clearly is essential, along with the capacity to interpret FCA regulations and related communications.
  • A self-starter who embraces responsibility and can work independently as well as collaboratively.
  • Skilled in building rapport and maintaining strong relationships over time, becoming a trusted partner to the business.
  • Work involves a high degree of accuracy, integrity, and independence, as well as the ability to thrive in a small team environment, aligning with our customer-centric culture.

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