Business Quality Compliance Officer

4 weeks ago


Exeter, Devon, United Kingdom Reward Recruitment Full time
Business Quality Compliance Officer

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.
Requirements:
  • 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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