Compliance Risk & Control Officer , Wealth Management

The Client

Our client is a highly successful Investment Management firm.

The Role

The Compliance Risk & Control Officer will sit within the Risk & Control Team and will help ensure that positive client outcomes are being achieved, and that investment portfolios are being correctly managed in line with Compliance regulatory standards and internal policies.

The Compliance Risk & Control Officer will support the upkeep of the Front Office Compliance Risk & Control teams monitoring processes to ensure adherence with key regulatory requirements and internal policies, procedures, group standards.

The Compliance Risk & Control Officer will support the production and ongoing development of effective Front Office MI / KPIs to monitor ongoing competence and to demonstrate that the right client outcomes are being achieved. Reviewing Client Files - knowledge of KYC and Client Onboarding.

Support the resolution of any breaches of Investment Management client mandates and support production of periodic reports to Boards and Committees as required.

The Compliance Risk & Control Officer will act as a key contact for first line Investment Suitability matters and will share best practice with teams within the Front Office and the wider business, including Risk & Compliance.

The Compliance Risk & Control Officer will support the delivery of key Front Office Risk & Control initiatives.

The Compliance Risk & Control Officer to coordinate and provide Suitability related training for the Wealth Management company.

The Candidate

2-3 years experience within Compliance / Front Office Risk / Front Office Governance - 1st or 2nd line of defence.

Knowledge of COBBS - Suitability Rules.

Investment management / Wealth Management / Financial Planning business background.

A compliance qualification.

Strong knowledge and application of FCA Suitability requirements

Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.

Understanding of Wealth Planning products.

Awareness of the current financial services environment and relevant industry or professional Compliance qualification.

Investment focused - good understanding of client investment needs; a working knowledge multi asset classes.

Strong interpersonal skills to work with the Front Office and teamwork

Self-confident and able to influence effectively / Self-motivated.

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