Business Quality Compliance Officer
4 weeks ago
Our client, an expanding Investment Management firm, is seeking an experienced Business Quality Compliance Officer to join their established team. The successful candidate will play a crucial role in ensuring the company meets regulatory requirements relating to investment advice, portfolio management, and record keeping.
Key Responsibilities:- Investment Management file monitoring, including pre and post-implementation checks.
- Reviewing investment proposals, client risk profiles, and documentation to ensure completeness, suitability, and compliance.
- Assessing whether investment decisions are well documented, compliant, and in line with business processes.
- Communicating review outcomes clearly and maintaining accurate records within company systems.
- Providing support to Investment Managers, offering guidance on file review processes and record keeping standards.
- Monitoring investment portfolios to ensure alignment with client objectives and risk profiles.
- Staying up-to-date with Consumer Duty requirements and focusing on positive client outcomes.
- Extensive experience in Financial Services, particularly in product governance or compliance roles.
- In-depth knowledge of UK Financial regulations, with a focus on Consumer Duty, and a strong understanding of investment products, portfolio construction, and risk management.
- A degree in Finance, Business, or a related field, along with a professional qualification, such as CFA, CISI, or equivalent, but not essential.
For further information, please send your CV directly to Stuart at Reward Recruitment or contact him directly on 07747478934.
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Business Quality Compliance Specialist
3 weeks ago
Exeter, Devon, United Kingdom Reward Recruitment Full time{"h1": "Business Quality Analyst/Compliance Officer", "p": "Our client, an expanding Investment Management firm, is seeking an experienced Business Quality Analyst/Compliance Officer to join their established team. This role is crucial in ensuring the company meets regulatory requirements related to investment advice, portfolio management, and record...
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Business Quality Compliance Specialist
3 weeks ago
Exeter, Devon, United Kingdom Reward Recruitment Full time{"h1": "Business Quality Analyst/Compliance Officer", "p": "Our client, an expanding Investment Management firm, is seeking an experienced Business Quality Analyst/Compliance Officer to join their established team. This role is crucial in ensuring the company meets regulatory requirements related to investment advice, portfolio management, and record...
-
Business Quality Compliance Specialist
4 weeks ago
Exeter, Devon, United Kingdom Reward Recruitment Full timeBusiness Quality Analyst/Compliance OfficerOur client, an expanding Investment Management firm, is seeking an experienced Business Quality Analyst/Compliance Officer to join their established team. The successful candidate will play a crucial role in ensuring the company meets regulatory requirements relating to investment advice, portfolio management, and...
-
Business Quality Compliance Specialist
4 weeks ago
Exeter, Devon, United Kingdom Reward Recruitment Full timeBusiness Quality Analyst/Compliance OfficerOur client, an expanding Investment Management firm, is seeking an experienced Business Quality Analyst/Compliance Officer to join their established team. The successful candidate will play a crucial role in ensuring the company meets regulatory requirements relating to investment advice, portfolio management, and...
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Exeter, Devon, United Kingdom Girling Jones Full timeJob OpportunityWe are seeking a Quality and Compliance Coordinator to join our team in Exeter.About the RoleThe successful candidate will support the Quality and Compliance team with quality document management, internal site defect identification, and other related tasks.Key ResponsibilitiesManage quality documents and ensure compliance with regulatory...
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Quality and Compliance Specialist
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Exeter, Devon, United Kingdom Girling Jones Full timeJob OpportunityWe are seeking a Quality and Compliance Coordinator to join our team in Exeter.About the RoleThe successful candidate will support the Quality and Compliance team with quality document management, internal site defect identification, and other related tasks.Key ResponsibilitiesManage quality documents and ensure compliance with regulatory...
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Quality and Compliance Specialist
3 weeks ago
Exeter, Devon, United Kingdom Girling Jones Full timeJob OpportunityWe are seeking a Quality and Compliance Coordinator to join our team in Exeter.About the RoleThe successful candidate will support the Quality and Compliance team with quality document management, internal site defect identification, and other related tasks.Key ResponsibilitiesManage quality documents and ensure compliance with regulatory...
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