Job Opportunity
We are seeking a highly skilled Compliance Specialist to join our team. In this role, you will be responsible for ensuring that all client outcomes are positive and that investment portfolios are managed in accordance with regulatory standards.
The Compliance Specialist will support the upkeep of monitoring processes to ensure adherence to key regulatory requirements and internal policies. This includes supporting the production and ongoing development of effective MI / KPIs to monitor ongoing competence and demonstrate right client outcomes.
The Compliance Specialist will act as a key contact for first-line Investment Suitability matters and share best practice with teams within the Front Office and the wider business, including Risk & Compliance.
The ideal candidate will have 2-3 years of experience within Quality Control / Business Assurance / Quality Assurance / Front Office Risk / Front Office Control - 1st or 2nd line of defence. They will also possess strong knowledge and application of FCA Suitability requirements and experience of working in a discretionary or advisory investment management environment with a focus on Retail investors.
The Compliance Specialist will coordinate and provide Suitability-related training for the company.
Key Responsibilities:
* Support the upkeep of monitoring processes to ensure adherence to key regulatory requirements and internal policies
* Support the production and ongoing development of effective MI / KPIs to monitor ongoing competence and demonstrate right client outcomes
* Act as a key contact for first-line Investment Suitability matters and share best practice with teams within the Front Office and the wider business, including Risk & Compliance
Requirements:
* 2-3 years of experience within Quality Control / Business Assurance / Quality Assurance / Front Office Risk / Front Office Control - 1st or 2nd line of defence
* 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
Benefits:
* Audit certification and compliance training
* Ongoing career development opportunities
* A collaborative and dynamic work environment