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Senior Compliance Associate

2 months ago

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

Handelsbanken Wealth & Asset Management is a leading provider of wealth and investment management services in the UK. We are seeking a highly skilled Compliance Monitoring Professional to join our team in London.

Key Responsibilities:

  • Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities to a high standard and delivering results in a timely manner.
  • Work proactively to identify control gaps and weaknesses, determine root cause, and escalate and propose viable solutions to the risks and weaknesses identified, working to mitigate risk.
  • Agree action plans with the business as a result of monitoring work and follow up with the business to ensure identified risks are adequately mitigated and closed in line with agreed action plans and for evidencing and recording rationale for closure.
  • Provide input into the annual Compliance Risk Assessment Process to inform the annual Compliance Monitoring Programme and actively keep compliance risks under review.
  • Make or assist with the delivery of relevant reporting and MI to inform Management of the compliance risks and their status.

Requirements:

  • Certified in Investment Compliance (CISI IAQ / IOC) or other compliance qualification from the International Compliance Association (ICA) would be useful.
  • A minimum of 1 year's compliance monitoring experience, where possible this would be gained via a Wealth Management Firm or Retail Financial Advice Firm is preferred.
  • Ability to build rapport and strong relationships quickly and be able to maintain and build on those relationships over time, becoming a trusted partner to the business.

About Us:

Handelsbanken Wealth & Asset Management is a wholly-owned subsidiary of the Handelsbanken Group and is responsible for all wealth and investment management activities of the Group in the UK. We are deeply committed to embedding good equality and diversity practice into all of our activities so that Handelsbanken Wealth & Asset Management is an inclusive, welcoming and inspiring place to work.

We offer a Hybrid Working Model, which allows us to spend the greater proportion of our working time at our workplace and the remaining time may be worked from home. This approach allows us to embrace the many benefits of hybrid working whilst sustaining and developing our unique culture.

We encourage and welcome applications from across the global community and all appointments are made solely on merit.