Compliance Officer
3 days ago
Key Responsibilities
Regulatory Compliance
- Monitor, interpret, and implement regulatory requirements applicable to wealth and investment management (e.g. FCA/SEC/ASIC or relevant local regulator).
- Assist in maintaining the firm's compliance policies, procedures, and compliance manual.
- Ensure regulatory changes are identified, assessed, and embedded into business processes in a timely manner.
Advisory & Oversight
- Provide day-to-day compliance advice and guidance to investment managers, advisers, and other business units.
- Review and approve marketing materials, client communications, and financial promotions.
- Support new product launches and business initiatives from a compliance perspective.
Monitoring & Surveillance
- Conduct compliance monitoring and thematic reviews in line with the annual compliance monitoring plan.
- Review client files, suitability assessments, and investment recommendations to ensure regulatory standards are met.
- Monitor conflicts of interest, personal account dealing, gifts and hospitality, and other conduct-related matters.
Risk Management & Controls
- Assist with identifying, assessing, and mitigating compliance and regulatory risks.
- Support the maintenance of the firm's risk register and compliance reporting framework.
- Contribute to internal audits and regulatory examinations.
Reporting & Regulatory Interaction
- Prepare compliance reports and management information for senior management and committees.
- Assist with regulatory filings, notifications, and responses to regulator queries.
- Support the investigation and resolution of compliance breaches and incidents.
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