Regulatory Hosting Team Member
7 days ago
Job Description
We are looking for a talented Compliance Analyst to join our Regulatory Hosting team, specializing in Appointed Representative services. In this role, you will provide administrative support for a portfolio of clients, ensuring compliance with regulatory requirements. You will also be responsible for client relationship management, ongoing communication, and risk assessment processes.
Your duties will include:
- Administering Appointed Representative services for clients in illiquid asset classes
- Client relationship management, including ongoing multi-channel communication
- Undertaking and taking control of the risk assessment process for Appointed Representatives
- Completion of relevant forms and liaison with the Financial Conduct Authority (FCA) for Appointed Representatives and approved persons
- Ongoing monitoring and oversight of Appointed Representatives, ensuring controls and procedures are adequate and being adhered to
- Upkeep of client-related work tracking systems
- Assisting in the resolution of regulatory issues or queries through research and discussion
- Participating in projects to improve service offerings
- Maintaining knowledge of regulatory changes impacting the team or Appointed Representatives
- Updating policies and procedures to ensure compliance and efficiency
- Sensitive conversations with clients, led by senior management, requiring documentation and intimate knowledge of clients' businesses
- Maintaining permanent files adequately for new and existing customers
- Delivering work to expected standards and timeframes
About Langham Hall
At Langham Hall, we pride ourselves on our positive working culture, low staff turnover, and commitment to employee development. We seek individuals who share our values and are passionate about delivering exceptional service to our clients.
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