We are working with a highly regarded and successful wealth management business in the heart of Witney who are recruiting for a Compliance Monitoring Analyst to join their growing team.
As a Compliance monitoring Analyst you will assist the compliance officer to ensure compliance with all regulations. You will also be working closely with the Advisors and Paraplanners to ensure the business is meeting regulatory regimes.
Key responsibilities include:
• To undertake tasks relating to the implementation of the objectives set out in the Compliance policies and Compliance Monitoring Programme
• To assist the Compliance Officer in ensuring that the Company establishes and maintains, at all times, effective systems or internal controls in order to manage and minimise the risk of losses to clients or to the Business from errors, irregularities or fraud
• Assist in monitoring all aspects of the business to identify actual or potential weaknesses of internal controls, so that prompt remedial action may be taken by Senior Management
• To assist in monitoring proposed changes in legislation with particular relevance to compliance of all regulatory regimes
• To assist the Compliance Officer in identifying, investigating and rectifying rule breaches, and fulfil any associated reporting requirements
• Assist in providing advice and coaching to employees to enable them to deliver process improvements, which are fully compliant with relevant regulatory requirements
• To assist in coordinating the handling of client complaints
• To assist in the creation, implementation and development of internal systems, in order to meet regulatory obligations, and to improve and maintain efficient working practices within the organisation
• To assist in the monitoring and review of client advice files, with support from the Compliance Officer and External Compliance Consultant
• To assist other team members in other related areas that come under the Compliance Department remit – for example, automatic exchange of information reporting to HMRC
We are looking for an individual with a good understanding of the FCA handbook and you must be studying towards to have obtained the industry related qualifications (CII or CISI).
For more information and to apply, contact Charlotte on 01993 892 526 or click 'Apply' today!
Our client offer a generous package and sociable working environment so we are looking for a personable, communicative and enthusiastic individual who is passionate for a long-term career.
Please note that no terminology in this advert is intended to discriminate on the grounds of a person's gender, marital status, race, religion, colour, age, disability or sexual orientation. Every candidate will be assessed only in accordance with their merits, qualifications and abilities to perform the duties of the job.
The Recruitment Group acting as an Employment Agency in respect of this Permanent opportunity.