This range is provided by Broster Buchanan. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from Broster Buchanan
Regulatory and Compliance Responsibilities
* 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.
* 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.
* 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.
Seniority level
Associate
Employment type
Full-time
Job function
Accounting/Auditing
Industries
Financial Services and Accounting
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